| 12-03292 | 09/24/2013 | Claimant(s): Carmella DiMercurio
Claimant Lawyers(s): Mitchell D. Johnson
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sharon R. Merriman
Hearing Site: St. Louis, MO
|  | $62,501 |
| 12-01048 | 08/30/2013 | Claimant(s): Jacqueline Hayes
Claimant Lawyers(s): Jacqueline Hayes
Respondent(s): Curtis Triggs, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Curtis William Triggs, James C. Browning
Arbitrator(s): Paul Lansing, Jack D. Olson, Phillip L. Wisely
Hearing Site: St. Louis, MO
| | $0 |
| 12-03086 | 07/18/2013 | Claimant(s): Jill Luft, Richard Luft, FBO Luft Living Trust
Claimant Lawyers(s): Richard N. Luft
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | $300 |
| 11-02093 | 06/20/2013 | Claimant(s): Robert Buser, Roseann Buser
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Keith E. Mattern, Frederick Michael Switzer, Joan M. Esserman
Hearing Site: St. Louis, MO
| | $0 |
| 12-03061 | 05/15/2013 | Claimant(s): Robert L. Timken
Claimant Lawyers(s): Robert L. Timken
Respondent(s): Wells Fargo Advisors, Lucas Glass
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Paul Lansing
Hearing Site: St. Louis, MO
| | $0 |
| 10-02565 | 04/17/2013 | Claimant(s): Bob Rastberger, Brad Amundson, Bridget Fletcher, Kenneth Ahrens, Perry DiClemente, Mark and Sarah Salvia, Timothy and Barbara McIntyre
Claimant Lawyers(s): Albert Watkins
Respondent(s): Michael Baker, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Michael G. Baker
Arbitrator(s): Anthony J. Soukenik, Thomas J. Ray, Christopher J. Janson
Hearing Site: St. Louis, MO
| | $304,470 |
| 11-04627 | 01/23/2013 | Claimant(s): William Bud
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): Edward C. Lawrence, Thomas J. Ray, David F. Barrett
Hearing Site: St. Louis, MO
| | Expungement |
| 11-01938 | 12/18/2012 | Claimant(s): Mary O'Sullivan, Neil J. O'Sullivan Trust, Thomas E. O'Sullivan Rev liv Trust
Claimant Lawyers(s): Jonathan F. Andres
Respondent(s): Kathryn Winter, Moloney Securities Co..
Respondent Lawyers(s): Jeff Jamieson, Kenton E. Knickmeyer
Arbitrator(s): R. Phillip Reed, Jerry M. Deters, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $150,000 |
| 11-01040 | 07/05/2012 | Claimant(s): James N. Vangilder Revocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Gerald Cohen, Julius Z. Frager, Marilyn T. Selby
Hearing Site: St. Louis, MO
| | $0 |
| 10-04359 | 06/13/2012 | Claimant(s): High Ridge Fire Protection District
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): LPL Financial LLC, Richard Glenn
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Alan A. Sachs
Hearing Site: St. Louis, MO
| | Expungement |
