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FINRA Awards for John R. Loss

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Displaying 11-20 out of 34 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0046211/19/2018Claimant(s): Matthew Shull
Claimant Lawyers(s): Jason M. Kueser
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
17-0299305/22/2018Claimant(s): Richard Homuth
Claimant Lawyers(s): Eric Litow
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
16-0161306/22/2017Claimant(s): Jan Larson, Tab Larson, Estate of Kari Lyn Larson
Claimant Lawyers(s): James B. Luers
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Steven Meyrich, Marilyn R. Lewis, John R. Loss
Hearing Site: Omaha, NE
Checkmark Icon$440,158
15-0270801/13/2017Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory M. Starner
Respondent(s): Brian Docking, Donald Barry, Jill Docking, Kevin Mcwhorter, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Jonathan Miller
Arbitrator(s): Bill M. Lamoreaux, Bruce Burditt, John R. Loss
Hearing Site: Wichita, KS
15-0088807/19/2016Claimant(s): Ranjit Singh, Kingsboro
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Vincent Louwagie
Arbitrator(s): Reggie C. Giffin, Thomas J. Ray, John R. Loss
Hearing Site: Kansas City, MO
Checkmark Icon$0
15-0330605/04/2016Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Thipp Ratsaboutseua
Respondent Lawyers(s): Thipp Ratsaboutseua
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
14-0294212/14/2015Claimant(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
Checkmark Icon$101,072
14-0258911/09/2015Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jon Gilstrap
Respondent Lawyers(s): Jon Russel Gilstrap
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
12-0330807/21/2014Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Justin McBride
Respondent Lawyers(s): James B. Koch
Arbitrator(s): Gerald Cohen, Christopher J. Janson, John R. Loss
Hearing Site: St. Louis, MO
13-0017002/14/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Lisa Lewis
Respondent(s): Darren Warden
Respondent Lawyers(s): Darren Neal Warden
Arbitrator(s): Frederick Michael Switzer, John R. Loss, Matthew R. Salamon
Hearing Site: St. Louis, MO

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