| 17-01369 | 07/18/2019 | Claimant(s): Ajay Ahuja, Nicholas Ahuja, Dr. Ajay Ahuja Deutsche Bank IRA Account
Claimant Lawyers(s): David E.. Robbins
Respondent(s): Deutsche Bank Securities., David Fleming, Stifel, Nicolaus & Co.., Sterne, Agee & Leach.
Respondent Lawyers(s): David Wilson Fleming, Richard H. Kuhlman, Toby S. Soli
Arbitrator(s): Rory M. McLaughlin, Steven C. Kasarda, Suzanne L. Ulicny
Hearing Site: New York, NY
|  | $793,605 |
| 17-01434 | 06/05/2019 | Claimant(s): 0
Claimant Lawyers(s): 0
Respondent(s): Gregory Bauer, Waddell & Reed
Respondent Lawyers(s): Gregory R. Bauer, Richard H. Kuhlman
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | $420,824 |
| 10-01040 | 04/25/2011 | Claimant(s): Demetrios Kamaris, Toni Kamaris
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Donald Whiteman, Charles F. Custer, Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $153,000 |
| 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 |
| 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 |
| 09-03611 | 07/15/2010 | Claimant(s): Arlyn E. Hanson IRA, Priscilla E. Hanson IRA, Priscilla E. Hanson & Arlyn E. Hanson, Arlyn E. Hanson Trust, Priscilla E. Hanson Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Kenneth Kauth, Wells Fargo Advisors
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Gerald M. Gifford, Douglas Randall Blohm, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $0 |
| 09-01827 | 05/18/2010 | Claimant(s): Lois Pillen
Claimant Lawyers(s): Gail Boliver
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): James C. Morrow
Hearing Site: Omaha, NE
| | $26,225 |
