15-02089 | 05/25/2017 | Claimant(s): Dickie Moritz, Phyllis A. Mortiz Revocable Trust Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Wells Fargo Advisors, Summit Brokerage Services. Respondent Lawyers(s): Alan S. Rafterman, John W. Shaw Arbitrator(s): Michael D. Fitzgerald, Rody P. Biggert, Lawrence R. Rute Hearing Site: Kansas City, MO
| | Expungement |
14-02702 | 03/27/2017 | Claimant(s): Teresa Vollenweider, Step By Step Communications., Teresa Vollenweider Trust Claimant Lawyers(s): Jason M. Kueser Respondent(s): Donald Porterfield, Morgan Stanley Respondent Lawyers(s): Jason M. Fedo Arbitrator(s): Reggie C. Giffin, M. W. Gear, Ronald G. Bruch Hearing Site: Kansas City, MO
| | $250 |
16-00519 | 03/01/2017 | Claimant(s): Tom Halling Claimant Lawyers(s): Jennifer Tarr Respondent(s): Lon Faccini, Michael Lovett, Cape Securities Inc. Respondent Lawyers(s): Judy A. Newcomb Arbitrator(s): Lynn Hirschfeld Brahin Hearing Site: Kansas City, MO
| | $0 |
16-00350 | 02/24/2017 | Claimant(s): Dennis Harlow Claimant Lawyers(s): Jennifer Tarr Respondent(s): Brian Hagerman, John Matthews, Niaz Elmazi Respondent Lawyers(s): Brian Joseph Hagerman, Niaz Elmazi, Ronald S. Herzog Arbitrator(s): William L. Cravens, Michael A. Kleinman, Elizabeth Sharp Lynch Hearing Site: Kansas City, MO
| | $298,737 |
15-02501 | 01/05/2017 | Claimant(s): The Estate of Roger W. Geiken Claimant Lawyers(s): Aaron Israels Respondent(s): Rebecca Gorrell Respondent Lawyers(s): Mark E. McFarland Arbitrator(s): Reggie C. Giffin, James C. Morrow, Henry R. Cox Hearing Site: Kansas City, MO
| | Expungement |
16-00178 | 11/17/2016 | Claimant(s): The Estate of Charline D. Smith Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Edward Jones Respondent Lawyers(s): Paul Yarns. Arbitrator(s): Michael D. Fitzgerald Hearing Site: Kansas City, MO
| | Expungement |
14-03206 | 10/28/2016 | Claimant(s): Paul Levy Claimant Lawyers(s): Jeffrey Steinbrecher Respondent(s): TD Ameritrade. Respondent Lawyers(s): Meagan A. Lamberti Arbitrator(s): Mark S. Foster, Thomas B. Phillips, Michael D. Fitzgerald Hearing Site: Kansas City, MO
| | $0 |
15-00888 | 07/19/2016 | Claimant(s): Ranjit Singh, Kingsboro Claimant Lawyers(s): Kevin Galbraith Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Vincent Louwagie Arbitrator(s): Reggie C. Giffin, Thomas J. Ray, John R. Loss Hearing Site: Kansas City, MO
| | $0 |
15-00074 | 06/16/2016 | Claimant(s): Mark Schroeder Claimant Lawyers(s): Chad C. Beaver Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jeffrey Holloway, First Clearing, Sean Harman, Timothy Tadlock, Holloway and Harman Capital Management, Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Joseph R. Soraghan, Michael D. Fitzgerald, Dennis Shrewsbury Hearing Site: Kansas City, MO
| | $423,770 |
13-01957 | 04/18/2016 | Claimant(s): The Children's Mercy Hospital Claimant Lawyers(s): Peter J. Mougey Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Jason M. Fedo Arbitrator(s): Murray S. Levin, Michael A. Kleinman, Dennis Shrewsbury Hearing Site: Kansas City, MO
| | $0 |