| 10-03318 | 04/21/2011 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Victor Hass
Respondent Lawyers(s): Victor N. Hass
Arbitrator(s): Walter N. Vernon
Hearing Site: St. Louis, MO
|  | $0 |
| 09-05955 | 04/01/2011 | Claimant(s): Cathy Winston, John Winston
Claimant Lawyers(s): W. Christopher McDonough
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): M. Jane Matoesian
Arbitrator(s): Anthony J. Soukenik, Alan A. Sachs, Richard H. Kuhlman
Hearing Site: St. Louis, MO
| | Expungement |
| 09-04933 | 03/31/2011 | Claimant(s): Barbara Cook, Barbara Bush Cook Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): John N. Reidy, David B. Lacks, Joan M. Esserman
Hearing Site: St. Louis, MO
| | $42,675 |
| 09-07161 | 03/31/2011 | Claimant(s): Mary Brandin, Mary Elliott Brandin Trust
Claimant Lawyers(s): John A. Klobasa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Marilyn T. Selby, Robert J. Bohle, David B. Lacks
Hearing Site: St. Louis, MO
| | $470,500 |
| 09-05990 | 12/28/2010 | Claimant(s): Warren J. Meyer and Mary Ellen Meyer
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): David B. Lacks
Hearing Site: St. Louis, MO
| | $31,460 |
| 07-01147 | 11/18/2010 | Claimant(s): The Estate of Lessie M. Delk
Claimant Lawyers(s): John J. Allan
Respondent(s): Kelly Waller, A.G. Edwards & Sons.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Robert J. Gryzmala, John R. Loss, Heath O. Lauseng
Hearing Site: St. Louis, MO
| | $0 |
| 09-02365 | 11/17/2010 | Claimant(s): Thomas J. Hillman Family Trust
Claimant Lawyers(s): Mark E. Goodman
Respondent(s): Bernard King, UBS Financial Services Inc.
Respondent Lawyers(s): Christopher T. O'Connor
Arbitrator(s): Gerald Cohen, Thomas J. Ray, Jennifer McGillivary
Hearing Site: St. Louis, MO
| | $100,000 |
| 09-02974 | 11/17/2010 | Claimant(s): Edward Heet and Barbara Heet
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Mark R. Lee, Joseph P. Keaveny, James M. Stern
Hearing Site: St. Louis, MO
| | Stipulated Award and Expungement |
| 09-00039 | 10/12/2010 | Claimant(s): Evan T. Williams Trust
Claimant Lawyers(s): David Gaba
Respondent(s): Homer Vining, Morgan Keegan & Company.
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Thomas J. Ray, M. Eileen Dorsey, James M. Stern
Hearing Site: St. Louis, MO
| | $375 |
| 09-03841 | 09/17/2010 | Claimant(s): Catharine Bloss, Donald Bloss
Claimant Lawyers(s): Thomas H. Lake
Respondent(s): Edwin Harris, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | $0 |
