| 18-02824 | 03/23/2020 | Claimant(s): Vito R Buzzotta and Merle L Buzzotta JT
Claimant Lawyers(s): David S. Corwin
Respondent(s): John Russell, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Donald D. McBride, John Hein
Arbitrator(s): Albert J. Haller, James M. Stern, Margaret Ann Kwawer
Hearing Site: St. Louis, MO
|  | $800,000 |
| 17-02420 | 01/07/2020 | Claimant(s): Sandra Alford, Sandra C. Alford Revocable Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Philip J. Glick, Albert J. Haller, Joshua Eric Lubatkin
Hearing Site: St. Louis, MO
| | $2,629,270 |
| 17-01064 | 01/09/2019 | Claimant(s): Albert Kaufman
Claimant Lawyers(s): Albert Duncan Kaufman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Thomas J. Ray, Albert J. Haller, Robert Joseph Osdieck
Hearing Site: St. Louis, MO
| | |
| 14-00017 | 12/22/2016 | Claimant(s): Robert McCrary, Robert L. McCrary, IRA
Claimant Lawyers(s): Martin M. Green
Respondent(s): Stifel, Nicolaus & Co.., Neil Harrison, Roger Compton
Respondent Lawyers(s): James C. Browning, Jr., Neil R. Harrison
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Albert J. Haller
Hearing Site: St. Louis, MO
| | $25,884 |
| 15-00337 | 02/02/2016 | Claimant(s): Steven Farris
Claimant Lawyers(s): Luke A. Baumstark
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Eric Raphan
Arbitrator(s): Bruce S. Feldacker, Albert J. Haller, Kim L. Kirn
Hearing Site: St. Louis, MO
| | |
| 12-03878 | 07/28/2014 | Claimant(s): June Duffy, Leroy Duffy, Susan Creasey, William Creasey
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): LPL Financial LLC, Gerald Seibert
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Julius Z. Frager, Albert J. Haller, Stuart W. Smith
Hearing Site: St. Louis, MO
| | Expungement |
| 12-00443 | 04/23/2014 | Claimant(s): Janice Rohan, Philip Hulse
Claimant Lawyers(s): Scott J. Link
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Anthony J. Soukenik, Albert J. Haller, Jack D. Olson
Hearing Site: St. Louis, MO
| | Expungement |
| 09-00239 | 01/29/2014 | Claimant(s): Norman Meyer
Claimant Lawyers(s): Helmut Starr
Respondent(s): Questar Asset Management., Questar Capital Corporation
Respondent Lawyers(s): James F. Jorden
Arbitrator(s): Thomas J. Ray, Albert J. Haller, Teresa Marie Boyer Allgeyer
Hearing Site: St. Louis, MO
| | |
| 11-00591 | 12/13/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Whitney Kenter
Respondent Lawyers(s): Darrell J. Graham
Arbitrator(s): Albert J. Haller, R. Phillip Reed, David J. Bokal
Hearing Site: St. Louis, MO
| | |
| 10-05805 | 01/26/2012 | Claimant(s): David Nester, Nester and Constance, PC, Nester and Constance PC Defined Benefit
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Patrick A. Watts
Arbitrator(s): Leah A. Murray, Albert J. Haller, Janet M. Thompson
Hearing Site: St. Louis, MO
| | $0 |
