| 21-01762 | 04/10/2024 | Claimant(s): Melvin Menke
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Richard Coleman, William Brown, Richard James & Associates.
Respondent Lawyers(s): Frank Barravechia, Richard James Coleman, William Robert Brown
Arbitrator(s): Julius Z. Frager
Hearing Site: Louisville, KY
|  | Dismissed by Rule 12511&12212© |
| 19-03510 | 08/28/2023 | Claimant(s): Thatcher J. Fields Gift Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Louis H Miron, Julius Z. Frager, Bruce Arthur Blessington
Hearing Site: Montpelier, VT
| | Expungement |
| 22-00523 | 01/06/2023 | Claimant(s): Robert Reed
Claimant Lawyers(s): Brian J. Davis
Respondent(s): Christopher Fusco, Lon Faccini, Arive Capital Markets
Respondent Lawyers(s): Anthony Varbero, Christopher Thomas Fusco
Arbitrator(s): Julius Z. Frager, Lynn Hirschfeld Brahin, Jane Cohen
Hearing Site: St. Louis, MO
| | Dismissed |
| 20-01510 | 12/04/2020 | Claimant(s): Betty Flynn, Ronald Flynn
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Julius Z. Frager
Hearing Site: St. Louis, MO
| | Dismissed by Rule 12206 |
| 18-01379 | 05/29/2019 | Claimant(s): Alma Miller, Rondel Miller
Claimant Lawyers(s): Vonne L. Karraker
Respondent(s): Ray Reese, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert J. Scafuri, Julius Z. Frager, Lynn Hirschfeld Brahin
Hearing Site: St. Louis, MO
| | Expungement |
| 18-00299 | 06/27/2018 | Claimant(s): Ronnie Jandt
Claimant Lawyers(s): Ronnie Jandt
Respondent(s): Scottrade Inc., Rodger Riney
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Julius Z. Frager
Hearing Site: Louisville, KY
| | $5,175 |
| 15-00872 | 05/09/2018 | Claimant(s): David Hug
Claimant Lawyers(s): David Hug
Respondent(s): Brent Porges, Richard Crockett, Zachary Bader, Craig Scott Capital
Respondent Lawyers(s): Brent M. Porges, Brent Porges, Richard H. Crockett, Robert M. Bursky
Arbitrator(s): Murray S. Levin, Julius Z. Frager, Henry R. Cox
Hearing Site: Kansas City, MO
| | $0 |
| 16-02115 | 12/12/2016 | Claimant(s): Claude Scott
Claimant Lawyers(s): Claude A. Scott
Respondent(s): Edward Jones
Respondent Lawyers(s): Robert J. Osdieck
Arbitrator(s): Julius Z. Frager
Hearing Site: St. Louis, MO
| | $535 |
| 12-03878 | 07/28/2014 | Claimant(s): June Duffy, Leroy Duffy, Susan Creasey, William Creasey
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): LPL Financial LLC, Gerald Seibert
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Julius Z. Frager, Albert J. Haller, Stuart W. Smith
Hearing Site: St. Louis, MO
| | Expungement |
| 11-01461 | 05/30/2013 | Claimant(s): Commercial National Bank of Texarkana
Claimant Lawyers(s): Kimberly A. Justice
Respondent(s): J.P. Morgan Securities, Robert Heinz, Bear Stearns & Co..
Respondent Lawyers(s): Lauri W. Sawyer, Saul C. Belz
Arbitrator(s): Julius Z. Frager, Patricia Best Vital, Elton W. Chartrand
Hearing Site: Little Rock, AR
| | Expungement |
