| 20-00954 | 03/31/2022 | Claimant(s): Janet M. Wittmer, Ronald E. Wittmer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Daniel Murray, Douglas Guarino, Jeff Snyder, Rockwell Global Capital LLC
Respondent Lawyers(s): Daniel Robert Murray, Douglas Joseph Guarino, Jeff David Snyder, Robert M. Bursky
Arbitrator(s): Steven H. Vogel, Jacqueline Stanley Lustig, Stuart W. Smith
Hearing Site: Chicago, IL
|  | $0 |
| 21-00021 | 01/06/2022 | Claimant(s): Dierdre Hallick, Mark Hallick
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities.
Respondent Lawyers(s): Justin Sacca, Sean T. Needham
Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 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 |
| 08-04613 | 11/19/2009 | Claimant(s): Clifford N. Wade and Margarita D. Wade
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John W. Mitchell
Arbitrator(s): James R. Augustine, R. Phillip Reed, Stuart W. Smith
Hearing Site: Birmingham, AL
| | $370,000 |
| 07-02976 | 09/15/2008 | Claimant(s): Mary Sammelman
Claimant Lawyers(s): Steven Koslovsky
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Carrie J. Bechtold
Arbitrator(s): Michael L. Lyons, Sean Patrick Abernathy, Stuart W. Smith
Hearing Site: St. Louis, MO
| | $0 |
