| 14-00189 | 02/10/2015 | Claimant(s): Revocable Trust Agreement of RW&SH Herr
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
|  | $94,500 |
| 13-03578 | 11/25/2014 | Claimant(s): Paul Zachritz
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Byron E. Francis
Arbitrator(s): Michael L. Lyons, Alan A. Sachs, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | $0 |
| 13-00481 | 09/29/2014 | Claimant(s): Jeffrey Bross
Claimant Lawyers(s): James S. McCarthy
Respondent(s): Anastasios Belesis, John Thomas Financial
Respondent Lawyers(s): Anastasios Belesis, Joseph Castellano
Arbitrator(s): Robert G. Haddenhorst, Thomas J. Ray, David J. Bokal
Hearing Site: St. Louis, MO
| | Stipulated Award |
| 12-03878 | 07/28/2014 | Claimant(s): June Duffy, Leroy Duffy, Susan Creasey, William Creasey
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): LPL Financial LLC, Gerald Seibert
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Julius Z. Frager, Albert J. Haller, Stuart W. Smith
Hearing Site: St. Louis, MO
| | Expungement |
| 13-03198 | 07/02/2014 | Claimant(s): Lois Roben
Claimant Lawyers(s): Lois J. Roben
Respondent(s): Jeffrey Pomeroy, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Anthony J. Soukenik
Hearing Site: St. Louis, MO
| | $75 |
| 12-02024 | 06/24/2014 | Claimant(s): Richard Estes
Claimant Lawyers(s): David B. Helms
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): Leah A. Murray, Gerald Cohen, Keith E. Mattern
Hearing Site: St. Louis, MO
| | $231,900 |
| 13-00217 | 05/21/2014 | Claimant(s): Michael Bross
Claimant Lawyers(s): James S. McCarthy
Respondent(s): Anastasios Belesis, John Thomas Financial
Respondent Lawyers(s): Anastasios P. Belesis, Company President
Arbitrator(s): Keith E. Mattern, Daniel J. Marsh, David Cottingham Mann
Hearing Site: St. Louis, MO
| | $0 |
| 12-00443 | 04/23/2014 | Claimant(s): Janice Rohan, Philip Hulse
Claimant Lawyers(s): Scott J. Link
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Anthony J. Soukenik, Albert J. Haller, Jack D. Olson
Hearing Site: St. Louis, MO
| | Expungement |
| 10-00136 | 04/15/2014 | Claimant(s): Veronica O'Brien
Claimant Lawyers(s): Veronica O'Brien
Respondent(s): Morgan Stanley, Mark Digman
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Thomas J. Ray, Jennifer McGillivary, David Cottingham Mann
Hearing Site: St. Louis, MO
| | Expungement |
| 12-02966 | 01/06/2014 | Claimant(s): Robert Schneider
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): John Chmielewski, Investment Planners.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | Expungement |
