| 20-02864 | 02/07/2023 | Claimant(s): Dominic Ismert, Ismert, OBO his DSGND Benefit Plan/TOD
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Henry R Cox, Lawrence R. Maxwell, Nancy S. Brown
Hearing Site: Kansas City, MO
|  | $144,425 |
| 19-03790 | 03/08/2021 | Claimant(s): Alan Wayne Friesen Revocable Trust, Jacob Gordon Jackson Revocable Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Charles G. Michaels, Henry R Cox, Leonard M. Goldstein
Hearing Site: Denver, CO
| | $1,044,840 |
| 18-03453 | 11/20/2019 | Claimant(s): Lonny Bohling
Claimant Lawyers(s): Dennis G. Peatrowsky
Respondent(s): Kenneth Hackett, Raymond James Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Henry R Cox, Thomas J. Pleiss, John R. Loss
Hearing Site: Omaha, NE
| | |
| 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 |
| 15-02501 | 01/05/2017 | Claimant(s): The Estate of Roger W. Geiken
Claimant Lawyers(s): Aaron Israels
Respondent(s): Rebecca Gorrell
Respondent Lawyers(s): Mark E. McFarland
Arbitrator(s): Reggie C. Giffin, James C. Morrow, Henry R. Cox
Hearing Site: Kansas City, MO
| | Expungement |
| 14-02942 | 12/14/2015 | Claimant(s): Caroline Pruett
Claimant Lawyers(s): John J. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Henry R. Cox, Betty R. Crumpton, John R. Loss
Hearing Site: Kansas City, MO
| | $101,072 |
| 13-03781 | 07/30/2014 | Claimant(s): James Nagengast
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Carmen Brun
Arbitrator(s): Mark S. Foster, Henry R. Cox, Hollie M. Mason
Hearing Site: Omaha, NE
| | |
| 12-02507 | 10/21/2013 | Claimant(s): Robert Cox
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Ameriprise Financial Services., Mitchell Black
Respondent Lawyers(s): Roger N. Walter
Arbitrator(s): Murray S. Levin, Walter N. Vernon, Henry R. Cox
Hearing Site: Kansas City, MO
| | $776,424 |
