| 13-00771 | 03/27/2014 | Claimant(s): Todd Tuls
Claimant Lawyers(s): Timothy Feil
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Company President
Arbitrator(s): George A. Abbott, James Edward Nash, Linda Ann Mares
Hearing Site: Omaha, NE
|  | Stipulated Award |
| 11-04397 | 11/20/2012 | Claimant(s): Heidi S. Vescio Living Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Scott Cavey
Respondent Lawyers(s): J. Scott Paul
Arbitrator(s): George A. Abbott
Hearing Site: Omaha, NE
| | $0 |
| 11-04377 | 08/27/2012 | Claimant(s): Judith Myers
Claimant Lawyers(s): Judith A. Myers
Respondent(s): Wells Fargo Advisors, Susan Robak
Respondent Lawyers(s): Rhonda A. Wilson
Arbitrator(s): George A. Abbott
Hearing Site: Omaha, NE
| | $163 |
| 11-01017 | 06/25/2012 | Claimant(s): 4R Partnership, by Jon Roberts, Partner, C. Marvin Trust, Trustee
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): David Schrager, Woodstock Financial Group.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): James E. Michaels, James A. Hayes, Ken L. Andersen
Hearing Site: Omaha, NE
| | $75,000 |
| 09-07108 | 09/08/2011 | Claimant(s): Todd Simon
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Bruce Keplinger, Thomas J. Pleiss, James Edward Nash
Hearing Site: Omaha, NE
| | $290,625 |
| 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 |
| 09-03429 | 06/08/2011 | Claimant(s): Edgar Hagerty, Joann Hagerty, EWH Investments, JDH Investments, Edgar W. Hagerty Trust, Joann Didik Hagerty Trust
Claimant Lawyers(s): James M. Bausch
Respondent(s): Kathryn Schubert, Merrill Lynch Pierce Fenner & Smith Inc., Ronald Lassek
Respondent Lawyers(s): Bryan Reyhani
Arbitrator(s): M. W. Gear, Richard L. Mitchell, Verne R. Gray
Hearing Site: Omaha, NE
| | $435,000 |
| 09-04523 | 10/13/2010 | Claimant(s): Marcia Rasmussen, Richard Rasmussen
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Daniel FeltzL Financial Corporation
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): George A. Abbott, Douglas A. Spier, John R. Loss
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 |
| 10-00561 | 08/04/2010 | Claimant(s): Kevin Duling
Claimant Lawyers(s): Kevin Duling
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): Bruce Keplinger
Hearing Site: Omaha, NE
| | $6,438 |
