| 12-00512 | 06/19/2015 | Claimant(s): Eugene Doskocz, Fiona Doskocz
Claimant Lawyers(s): Anthony Trogan
Respondent(s): A.G. Edwards & Sons., Sigma Financial Corporation
Respondent Lawyers(s): Brent J. Burtin, Jonathan M. Sterling
Arbitrator(s): Barry Goldman, Kendall B. Perry, William Joseph Caprathe
Hearing Site: Detroit, MI
|  | $80,000 |
| 14-01701 | 05/21/2015 | Claimant(s): John Anderson
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Wells Fargo Advisors, Jason Turetzky, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | $300 |
| 14-01702 | 01/13/2015 | Claimant(s): Diane Anderson
Claimant Lawyers(s): Bryan Forman
Respondent(s): Wells Fargo Advisors, Jason Turetzky, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | $0 |
| 12-03299 | 08/12/2013 | Claimant(s): Yvonne Kloehn
Claimant Lawyers(s): G. Martin Meyers
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Michael Levine, A.G. Edwards & Sons.
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Bernard M. Levine, Linda J. Baer, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $0 |
| 12-00536 | 05/16/2013 | Claimant(s): Gary Kern
Claimant Lawyers(s): Gary W. Kern
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Ronald H. Walton, Steele Thomas Williams, Oliver J. Janney
Hearing Site: Tampa, FL
| | $0 |
| 09-03967 | 06/27/2011 | Claimant(s): Donald Burwell, Marjorie Burwell
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Kenneth A. Bravo
Arbitrator(s): Frank C. Fogl, James Dale Ellis, Mark L. Ferris
Hearing Site: Cleveland, OH
| | Expungement |
| 09-03912 | 04/19/2011 | Claimant(s): John Hogge
Claimant Lawyers(s): Mark Cohen
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): James G. Cooper, George A. Sellnau, Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
| 09-07137 | 03/24/2011 | Claimant(s): Estate of Elsie Caldonia Flowers
Claimant Lawyers(s): J. Don Gordon
Respondent(s): Wachovia Securities, Johnnie Cadenhead, A.G. Edwards & Sons.
Respondent Lawyers(s): Johnnie Cadenhead, Will S. Montgomery
Arbitrator(s): Bill H. Brister, Andrea U. Calve, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
| | $292,953 |
| 09-03803 | 02/22/2011 | Claimant(s): Gilbert Lee, Lee Family Trust
Claimant Lawyers(s): Marc D. Mabile
Respondent(s): Bart Martinez, Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | $34,305 |
| 07-01147 | 11/18/2010 | Claimant(s): The Estate of Lessie M. Delk
Claimant Lawyers(s): John J. Allan
Respondent(s): Kelly Waller, A.G. Edwards & Sons.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Robert J. Gryzmala, John R. Loss, Heath O. Lauseng
Hearing Site: St. Louis, MO
| | $0 |
