| 23-00628 | 10/11/2023 | Claimant(s): Heidi Leeds, Laurence Leeds
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-02603 | 02/16/2023 | Claimant(s): Estate of Gloria Elizondo Altamirano
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Jose Cruz
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Brian James Tagtmeier, Stephen Andrew McCarthy, John Donahue Sullivan
Hearing Site: Houston, TX
| | Expungement |
| 19-00603 | 12/30/2021 | Claimant(s): Philip Sims, Philip D. Sims IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): McNally Financial Services Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Thomas A. Martin, Jack Chapline Vaughan, Camille Morris Tankersley
Hearing Site: Houston, TX
| | Expungement |
| 20-01898 | 06/10/2021 | Claimant(s): Beth Bernstein, Beth A. Bernstein IRA, Bernstein-Jewell Family Living Trust
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Marc Kalish, William B. Morgan, Garnett Sailor
Hearing Site: Phoenix, AZ
| | Dismissed by FINRA 12206 |
| 19-01781 | 03/20/2020 | Claimant(s): Elio Chiappetta IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $75,225 |
| 19-01304 | 11/18/2019 | Claimant(s): Elizabeth Katen, Philip Katen, Ryan Katen, Timothy Katen
Claimant Lawyers(s): Robert H. Rex
Respondent(s): The Tidal Group.
Respondent Lawyers(s): Greg Weselka
Arbitrator(s): Gregory P. Szuter, Daniel G. Zeiser, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | Dismissed by Rule 12206/12504 |
| 18-00317 | 09/12/2018 | Claimant(s): Gail Schneider, Gail Schneider IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02364 | 03/23/2018 | Claimant(s): Lawrence Susienka, Lawrence M. Susienka IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): SII Investments.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Mark I. Roth, Max Rafael Karyo
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-00952 | 04/02/2015 | Claimant(s): Anita Dial, Anita Dial IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Debra L. Weiss
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | $0 |
| 13-03675 | 03/31/2015 | Claimant(s): Richard Bergdahl, Richard G. Bergdahl IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Leon Fox, Debra J. Tucker, G. Marshall Abbey
Hearing Site: Chicago, IL
| | Expungement |
