| 20-03374 | 03/21/2022 | Claimant(s): Alicia Friedrichs, Andrew Knopfel, Barbara Stephens, Brian Bazata, Carolyn Lura, Carson Stephens, Connor Emshousen, Curtis Stanfill, Daniel Orms, David Friedrichs, Dawn Emshousen, Douglas Brown, Douglas Egbert, Douglas Havelka, Eddie Case, Eileen Hubert, Elliott Higginbotham, Gerry Stephens, Heidi Bazata, Hunter Stephens, Jana Reilly, Jeff Finley, Jerry Stephens, John Carter, John Hubert, Kay Thornton, Kerri Bridges, Kurtis Emshousen, Larry Guthrie, Lee Friedman, Leslie Stephens, Malinda Roberson, Mary Corsair, Michael Dorman, Nelson Rabdall, Robert Bridges, Roger Dowdy, Ronald Carter, Stephanie Orms, Steven Friedman, Terry Ferguson, Thomas Marks, Timothy Dorman, Varda Case, Virginia Schumacher, William Reilly, William Ridings, Jerry William Stephens Trust, Ronald N. Carter Revocable Trust, Steven A Friedman Revocable Trust
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Leah Murray Albert, James M. Stern, David E. Crawford
Hearing Site: St. Louis, MO
|  | $0 |
| 20-03396 | 01/18/2022 | Claimant(s): Maria Albers
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): MSC - BD
Respondent Lawyers(s): Christopher D. Seps
Arbitrator(s): James M. Stern, Ericka Cables, Jane Curtman-Schroeder
Hearing Site: St. Louis, MO
| | $221,339 |
| 18-02824 | 03/23/2020 | Claimant(s): Vito R Buzzotta and Merle L Buzzotta JT
Claimant Lawyers(s): David S. Corwin
Respondent(s): John Russell, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Donald D. McBride, John Hein
Arbitrator(s): Albert J. Haller, James M. Stern, Margaret Ann Kwawer
Hearing Site: St. Louis, MO
| | $800,000 |
| 17-02896 | 08/06/2019 | Claimant(s): Edward Brucker, Eugene E. Brucker Revocable Trust DTD
Claimant Lawyers(s): Glenn E. Davis
Respondent(s): David Mesker, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert J. Gryzmala, James M. Stern, Kim L. Kirn
Hearing Site: St. Louis, MO
| | $170,379 |
| 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 |
| 09-00362 | 02/24/2010 | Claimant(s): Patricia A. Lambert IRA, Carl E. Lambert and Patricia A. Lambert
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Anthony J. Soukenik, James M. Stern, Heath O. Lauseng
Hearing Site: St. Louis, MO
| | $0 |
| 09-03271 | 02/12/2010 | Claimant(s): Estate of Roger D. Emling
Claimant Lawyers(s): Christopher T. O'Connor
Respondent(s): UMB Financial Services.
Respondent Lawyers(s): Donald D. McBride
Arbitrator(s): Anthony J. Soukenik, Julie L. DeWitt, James M. Stern
Hearing Site: St. Louis, MO
| | $0 |
| 07-01657 | 06/12/2008 | Claimant(s): Robert Baker, Shirley Baker, Robert J. and Shirley J. Baker Trust
Claimant Lawyers(s): Steve Koslovsky
Respondent(s): R. Rose, Financial Planning Consultants Inc.
Respondent Lawyers(s): Alex M. Kanter
Arbitrator(s): Lynn D. (Doug) Newton, David B. Lacks, James M. Stern
Hearing Site: St. Louis, MO
| | $0 |
