13-01693 | 09/17/2014 | Claimant(s): Steven Halliwell Claimant Lawyers(s): Steven E. Halliwell Respondent(s): Linda Miller, Nationwide Investment Services Corporati, Securities Service Network., Walnut Street Securities. Respondent Lawyers(s): Abigail D. Elrod, Joanna M.F. Wilcomes, Ronald T. Klimas, Victoria A. Flinn Arbitrator(s): James M. Rhodes Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
11-04569 | 07/09/2013 | Claimant(s): Allen Silk, Mary Silk, Allen B. Silk, IRA, SEP, Mary E. Silk SEP, Mary E. Silk Claimant Lawyers(s): Frank "Kim" Breese Respondent(s): Gary Spooner, Securities Service Network. Respondent Lawyers(s): Gary Lee Spooner, Ryan R. Baker Arbitrator(s): Earle J. Schwarz, Kenneth W. Shelley, Leigh Ann Roberts Hearing Site: Jackson, MS
| | $308,656 |
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 |
07-02602 | 08/15/2008 | Claimant(s): A. Ray Claimant Lawyers(s): Walter W. Bussart Respondent(s): James Bratcher, Securities Service Network. Respondent Lawyers(s): Christopher G. Lazarini Arbitrator(s): D. Bruce Shine, Coleman Robert Perry, Richard K. Smith Hearing Site: Nashville, TN
| | Dismissed by Rule 12206 |