| 19-02278 | 01/20/2021 | Claimant(s): Keith J. Lilek Declaration of Trust, Teresa Lilek Declaration of Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Patricia Joanne Branco, David A. Schuler, Lawrence R. Rute
Hearing Site: Kansas City, MO
|  | Expungement |
| 18-01007 | 04/29/2019 | Claimant(s): Carpenter Law Firm Defined Benefit Plan
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Morgan Stanley & Co., Michael Canney
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Lawrence R. Rute, Gerald W. Hepp, Brett Coonrod
Hearing Site: Des Moines, IA
| | $464,813 |
| 17-01666 | 10/10/2018 | Claimant(s): J. Thomas Netzer
Claimant Lawyers(s): Joseph D. Sheppard
Respondent(s): Moloney Securities Asset Management, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Leonard Arthur Nelson, Lawrence R. Rute, Bryan E. Mouber
Hearing Site: Kansas City, MO
| | $300,000 |
| 15-02089 | 05/25/2017 | Claimant(s): Dickie Moritz, Phyllis A. Mortiz Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors, Summit Brokerage Services.
Respondent Lawyers(s): Alan S. Rafterman, John W. Shaw
Arbitrator(s): Michael D. Fitzgerald, Rody P. Biggert, Lawrence R. Rute
Hearing Site: Kansas City, MO
| | Expungement |
