| 09-00121 | 08/21/2009 | Claimant(s): Lois Hughes
Claimant Lawyers(s): Lois J. Hughes
Respondent(s): Brian Wall, Darrin De Bok
Respondent Lawyers(s): Deirdre C. Wolf
Arbitrator(s): Mark R. Lee
Hearing Site: Kansas City, MO
|  | $0 |
| 08-00472 | 08/06/2009 | Claimant(s): Donald Halfmann, Patricia Halfmann
Claimant Lawyers(s): John J. Miller
Respondent(s): VFinance Investments.
Respondent Lawyers(s): Adam H. Smith
Arbitrator(s): Michael D. Fitzgerald, Michael A. Kleinman, Robert John McElwain
Hearing Site: Kansas City, MO
| | $759,800 |
| 09-00942 | 07/29/2009 | Claimant(s): Patricia Kubitzki
Claimant Lawyers(s): Patricia A. Kubitzki
Respondent(s): New England Securities, Timothy Mcdermott
Respondent Lawyers(s): B. John Pendleton, Christina Schmid
Arbitrator(s): James A. Hayes
Hearing Site: Kansas City, MO
| | $7,836 |
| 08-04505 | 07/22/2009 | Claimant(s): George O. Miles and Sharon K. Miles
Claimant Lawyers(s): George O. Miles
Respondent(s): Wachovia Securities, Gerald Rabin, Gregory Ek
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Murray S. Levin, W. Richard Keene, Michael J. Hunter
Hearing Site: Kansas City, MO
| | $0 |
| 07-00245 | 06/26/2009 | Claimant(s): Charna Knepper, Laurence Knepper, Nancy Knepper
Claimant Lawyers(s): Robert R. Barton
Respondent(s): Andrew Garrett.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Lonnie L. Cunningham, Murray S. Levin, Michael D. Fitzgerald
Hearing Site: Kansas City, MO
| | $0 |
| 08-02928 | 05/01/2009 | Claimant(s): Brad Kuhlmann
Claimant Lawyers(s): John J. Miller
Respondent(s): Kenneth Bonal, Robert Glynn, William Athas, Liberty Partners Financial Services
Respondent Lawyers(s): Mark G. Vaughan, Robert Stephen Glynn
Arbitrator(s): Donald B. Clark, Joseph M. Rebein, Gerald Francis Lamberti
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
| 08-01574 | 03/20/2009 | Claimant(s): Patricia Turner
Claimant Lawyers(s): Jason M. Kueser
Respondent(s): Glenn Graepel, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): John E. Sundeen, Arthur F. Dewsberry, John R. Loss
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
| 08-00391 | 03/19/2009 | Claimant(s): Ralph MacNaughton
Claimant Lawyers(s): John J. Miller
Respondent(s): Dayton Ault, John Carlson, Capital Financial Services.
Respondent Lawyers(s): Jeffrey S. Jamieson, W. Perry Brandt
Arbitrator(s): M. W. Gear, Joseph M. Rebein, Dale C. Putman
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
| 07-03231 | 11/06/2008 | Claimant(s): Paul Varsalona
Claimant Lawyers(s): Bernard L. Balkin
Respondent(s): Lowell Listrom, Valdes & Moreno.
Respondent Lawyers(s): Marco Listrom
Arbitrator(s): Robert E. Eisler
Hearing Site: Kansas City, MO
| | $12,450 |
| 07-02704 | 09/03/2008 | Claimant(s): Christy Routh, Stephen Routh, Tetons Inc. Def. Benefit Pension Plan
Claimant Lawyers(s): John J. Miller
Respondent(s): Frank Barber, ING Financial Partners., Locust Street Securities.
Respondent Lawyers(s): Jesse Linebaugh, Ross A. Anderson
Arbitrator(s): Michael D. Fitzgerald, Michael Braude
Hearing Site: Kansas City, MO
| | $168,300 |
