| 10-03436 | 06/15/2011 | Claimant(s): Barbara Vavrina, Janice Vavrina, Randall Vavrina, Randall E. Vavrina Trust Account
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): James A. Hayes, Bryan L. Johnson, Rebecca Sue Abell-Brown
Hearing Site: Omaha, NE
|  | $0 |
| 09-06691 | 08/10/2010 | Claimant(s): Michael Antes
Claimant Lawyers(s): J. L. Spray
Respondent(s): Paula Turner
Respondent Lawyers(s): Paula Jean Turner
Arbitrator(s): Will B. Tschudy, M. W. Gear, James A. Hayes
Hearing Site: Omaha, NE
| | $4,500,000 |
| 08-03702 | 05/12/2010 | Claimant(s): Garry Hodgin
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Michael Segal, Thomas Oneill, Yousuf Saljooki, Whitaker Securities LLC
Respondent Lawyers(s): Scott D. Stechman, Yousuf Saljooki
Arbitrator(s): Jeffrey M. Bain, Bruce C. Young, James A. Hayes
Hearing Site: Omaha, NE
| | Stipulated Award and Expungement |
| 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 |
| 08-02808 | 03/27/2009 | Claimant(s): Est. of Margaret Oswald by Stan Oswald
Claimant Lawyers(s): Stan Cohen
Respondent(s): Edward Jones
Respondent Lawyers(s): Kimber L. Monroe
Arbitrator(s): James A. Hayes
Hearing Site: Omaha, NE
| | $5,648 |
| 07-01366 | 11/28/2007 | Claimant(s): Michael Smith
Claimant Lawyers(s): Michael J. Smith
Respondent(s): A.G. Edwards & Sons., Wayne Watson
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): James A. Hayes
Hearing Site: Kansas City, MO
| | $75 |
