| 13-01853 | 02/11/2014 | Claimant(s): Ryan White
Claimant Lawyers(s): Ryan Arther White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | |
| 12-02966 | 01/06/2014 | Claimant(s): Robert Schneider
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): John Chmielewski, Investment Planners.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
|  | Expungement |
| 13-00640 | 11/06/2013 | Claimant(s): Theodore R. Davis Trust DTD 3/8/2007
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Stephen J. Fields
Arbitrator(s): Michael A. Rzewnicki, John R. Loss, David F. Barrett
Hearing Site: Kansas City, MO
| | $234,466 |
| 12-03509 | 05/03/2013 | Claimant(s): James Nagengast, Kevin Miller
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Thomas J. Pleiss, Verne R. Gray, John R. Loss
Hearing Site: Omaha, NE
| | |
| 10-05786 | 01/14/2013 | Claimant(s): Charles Heckert, Janice Heckert, Heckert Contruction Co.
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee
Arbitrator(s): Patricia M. Bottoms, John R. Loss, Michael Braude
Hearing Site: Kansas City, MO
| | Expungement |
| 10-05182 | 12/19/2012 | Claimant(s): Elizabeth Keen
Claimant Lawyers(s): Joseph R. Soraghan
Respondent(s): LPL Financial LLC, Transamerica Financial Advisors
Respondent Lawyers(s): Amanda C. Hawley, James F. Koehler
Arbitrator(s): Keith E. Mattern, John R. Loss, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | Expungement |
| 11-00870 | 03/26/2012 | Claimant(s): Doxa Family Partnership, L.P., Emily A. Schwarz Rev Living Trust, George Weber Jr. Trust etc.
Claimant Lawyers(s): Ronald B. Ziegler
Respondent(s): LPL Financial LLC, Peter Reinecke
Respondent Lawyers(s): Donald J. Mehan, Peter W. Gillies
Arbitrator(s): Gerald Cohen, John R. Loss, Casey John Whalley
Hearing Site: St. Louis, MO
| | Expungement |
| 10-04374 | 11/22/2011 | Claimant(s): Grisel Wiley, Jerry Wiley, Grisel Wiley Irrevocable Life Ins. Trust, Jerry Wiley Irrevocable Life Ins Trust, The Grisel Wiley Living Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Sherry L. Robinson, John R. Loss, Michael J. Hunter
Hearing Site: Kansas City, MO
| | $0 |
| 07-01147 | 11/18/2010 | Claimant(s): The Estate of Lessie M. Delk
Claimant Lawyers(s): John J. Allan
Respondent(s): Kelly Waller, A.G. Edwards & Sons.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Robert J. Gryzmala, John R. Loss, Heath O. Lauseng
Hearing Site: St. Louis, MO
| | $0 |
| 09-04523 | 10/13/2010 | Claimant(s): Marcia Rasmussen, Richard Rasmussen
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Daniel FeltzL Financial Corporation
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): George A. Abbott, Douglas A. Spier, John R. Loss
Hearing Site: Omaha, NE
| | $0 |
