| 10-05820 | 04/27/2012 | Claimant(s): Surendra Gupta
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Frederick Michael Switzer, Robert J. Bohle, David F. Barrett
Hearing Site: St. Louis, MO
|  | Expungement |
| 10-05530 | 04/17/2012 | Claimant(s): Patricia Sturgis, Revocable Grantor Trust of June M. Davis
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Paul M. Foster, Julius Z. Frager, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | Expungement |
| 11-00185 | 04/17/2012 | Claimant(s): Rosetta Salzman Revocable Living Trust
Claimant Lawyers(s): Kurt J. Schafers
Respondent(s): Wells Fargo Advisors, Mary Paulin, Robert Laegeler
Respondent Lawyers(s): Gardiner B. Davis
Arbitrator(s): Michael S. Hill, David B. Lacks, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $61,894 |
| 11-00870 | 03/26/2012 | Claimant(s): Doxa Family Partnership, L.P., Emily A. Schwarz Rev Living Trust, George Weber Jr. Trust etc.
Claimant Lawyers(s): Ronald B. Ziegler
Respondent(s): LPL Financial LLC, Peter Reinecke
Respondent Lawyers(s): Donald J. Mehan, Peter W. Gillies
Arbitrator(s): Gerald Cohen, John R. Loss, Casey John Whalley
Hearing Site: St. Louis, MO
| | Expungement |
| 11-02927 | 03/23/2012 | Claimant(s): Philip Paul
Claimant Lawyers(s): Philip Craig Paul
Respondent(s): Wachovia Securities Inc., Sam Macaluso
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | Expungement |
| 10-05805 | 01/26/2012 | Claimant(s): David Nester, Nester and Constance, PC, Nester and Constance PC Defined Benefit
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Patrick A. Watts
Arbitrator(s): Leah A. Murray, Albert J. Haller, Janet M. Thompson
Hearing Site: St. Louis, MO
| | $0 |
| 10-03922 | 11/11/2011 | Claimant(s): Rosemary Intagliata
Claimant Lawyers(s): Michael M. Steinmetz
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Justin I Sacca
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO
| | $0 |
| 09-06525 | 09/30/2011 | Claimant(s): Gerald Bamberger, Maxine Bamberger
Claimant Lawyers(s): Robert J. Benbenek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Donald J. Mehan
Arbitrator(s): Thomas J. Ray, Judith A. Payuk, Marilyn T. Selby
Hearing Site: St. Louis, MO
| | Expungement |
| 09-03946 | 08/25/2011 | Claimant(s): Pamela Koprowski
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): H. Beck.
Respondent Lawyers(s): Molly R. Batsch
Arbitrator(s): Thomas J. Ray, Joan M. Esserman, David Brian Cohen
Hearing Site: St. Louis, MO
| | $0 |
| 09-03580 | 08/10/2011 | Claimant(s): Kenneth C Thompson IRA, Kenneth C Thompson Living Trust
Claimant Lawyers(s): L Steven Goldblatt
Respondent(s): Neil Harrison
Respondent Lawyers(s): Neil R. Harrison
Arbitrator(s): Keith D. Patten, Joseph R. Soraghan, Raymond Przybylowski
Hearing Site: St. Louis, MO
| | $0 |
