| 16-02606 | 09/18/2017 | Claimant(s): Mary Jane Rodemeyer, Ronald Rodemeyer, The Rodemeyer Family Trust DTD 09/08/199
Claimant Lawyers(s): D. Daxton White
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Ilene T. Gormly
Hearing Site: Denver, CO
|  | Expungement |
| 16-01243 | 08/17/2017 | Claimant(s): Kirsten Green, Kirsten H. Green IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Robert Star, Edi Financial.
Respondent Lawyers(s): Kevin Galbraith, Martin Prinz
Arbitrator(s): Walter J. Wylie, Daniel Lee Tedrick, Janice Helsley Blach
Hearing Site: Columbia, SC
| | $432,815 |
| 16-00695 | 08/16/2017 | Claimant(s): Brenda Phetteplace, Thomas Trout
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Paul Davis Pearlstein, Daniel Lee Tedrick, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | Expungement |
| 15-02289 | 04/11/2017 | Claimant(s): Roberto Ramon Midence Revocable Living
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley, RBC Capital Markets LLC
Respondent Lawyers(s): John P. Kincade, Joseph C. Coates
Arbitrator(s): Maryanne M. Esser, Amy Lynn Mitchell, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
| 16-01502 | 03/13/2017 | Claimant(s): Kevin O'Neill
Claimant Lawyers(s): Meagan A. Lamberti
Respondent(s): James Stewart, JC Stewart Enterprises
Respondent Lawyers(s): D. Daxton White
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | Expungement |
| 16-01301 | 12/27/2016 | Claimant(s): James Stewart, James C. Stewart IRA, F. Stewart Rev Liv Trust U/A/D/ 01/23/91, James C. Stewart Trust U/A/D/ 09/22/86
Claimant Lawyers(s): D. Daxton White
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Muriel Desloovere, Jacquelyn M. Shannon, Joseph John Mantione
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
| 15-01127 | 10/10/2016 | Claimant(s): Lisa Cooper, Trevor Cooper
Claimant Lawyers(s): D. Daxton White
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): William L. Merkin, Mandel E. Himelstein, John M Wilson
Hearing Site: San Diego, CA
| | Expungement |
| 15-01436 | 02/25/2016 | Claimant(s): Michel Deveix, Michel Deveix Roth IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Ian S. Greig, George W. McKellar, Walter J. Wylie
Hearing Site: Columbia, SC
| | Expungement |
| 15-01299 | 12/30/2015 | Claimant(s): Robert Simon, Robert Simon IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Michael Jordan
Respondent Lawyers(s): Michael Jordan
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | $37,650 |
| 14-03867 | 10/22/2015 | Claimant(s): Donna Bond, Mel Bond
Claimant Lawyers(s): D. Daxton White
Respondent(s): Berthel, Fisher & Company Financial
Respondent Lawyers(s): Debra Weiss
Arbitrator(s): Jack D. Olson, Alan A. Sachs, Ollie Sam Ackley
Hearing Site: St. Louis, MO
| | $0 |
