| 20-03869 | 08/08/2022 | Claimant(s): Bonnie K. Johnston, Robert E. Johnston
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Lynn Hirschfeld Brahin, Gregory G. Gocek, Joan M. Esserman
Hearing Site: St. Louis, MO
|  | Expungement |
| 21-00236 | 08/05/2022 | Claimant(s): Detalus Advisors
Claimant Lawyers(s): Donald J. Mehan
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Michael J. Tiffany
Arbitrator(s): Robert J. Gryzmala, MaryJane Rabier
Hearing Site: St. Louis, MO
| | Expungement |
| 21-02040 | 05/13/2022 | Claimant(s): Diana McDaniel, Marc McDaniel
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert Stewart Barney, MaryJane Rabier, Gerald Michael Richardson
Hearing Site: St. Louis, MO
| | Expungement |
| 19-02809 | 05/10/2022 | Claimant(s): William Metheny
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Michael J. Meeusen, Joshua Eric Lubatkin, Christopher Allen
Hearing Site: St. Louis, MO
| | Expungement |
| 20-03374 | 03/21/2022 | Claimant(s): Alicia Friedrichs, Andrew Knopfel, Barbara Stephens, Brian Bazata, Carolyn Lura, Carson Stephens, Connor Emshousen, Curtis Stanfill, Daniel Orms, David Friedrichs, Dawn Emshousen, Douglas Brown, Douglas Egbert, Douglas Havelka, Eddie Case, Eileen Hubert, Elliott Higginbotham, Gerry Stephens, Heidi Bazata, Hunter Stephens, Jana Reilly, Jeff Finley, Jerry Stephens, John Carter, John Hubert, Kay Thornton, Kerri Bridges, Kurtis Emshousen, Larry Guthrie, Lee Friedman, Leslie Stephens, Malinda Roberson, Mary Corsair, Michael Dorman, Nelson Rabdall, Robert Bridges, Roger Dowdy, Ronald Carter, Stephanie Orms, Steven Friedman, Terry Ferguson, Thomas Marks, Timothy Dorman, Varda Case, Virginia Schumacher, William Reilly, William Ridings, Jerry William Stephens Trust, Ronald N. Carter Revocable Trust, Steven A Friedman Revocable Trust
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Leah Murray Albert, James M. Stern, David E. Crawford
Hearing Site: St. Louis, MO
| | $0 |
| 20-03396 | 01/18/2022 | Claimant(s): Maria Albers
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): MSC - BD
Respondent Lawyers(s): Christopher D. Seps
Arbitrator(s): James M. Stern, Ericka Cables, Jane Curtman-Schroeder
Hearing Site: St. Louis, MO
| | $221,339 |
| 20-03309 | 12/09/2021 | Claimant(s): Kevin Sprouse
Claimant Lawyers(s): Kevin E. Sprouse
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Jeffry M. Bauer
Hearing Site: St. Louis, MO
| | $0 |
| 20-04209 | 05/10/2021 | Claimant(s): Richard Lozano
Claimant Lawyers(s): Richard R. Lozano
Respondent(s): Edward Balmes, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Gregory G. Gocek
Hearing Site: St. Louis, MO
| | $2,050 |
| 17-03513 | 02/23/2021 | Claimant(s): David Ball, Misako Ball, Sally Ball
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): John Shaw
Arbitrator(s): Leah Murray Albert, Joan M. Esserman, David E. Crawford
Hearing Site: St. Louis, MO
| | $418,994 |
| 20-01510 | 12/04/2020 | Claimant(s): Betty Flynn, Ronald Flynn
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Julius Z. Frager
Hearing Site: St. Louis, MO
| | Dismissed by Rule 12206 |
