| 23-00282 | 05/28/2024 | Claimant(s): Donald Saunders, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Concourse Financial Group Securities, In
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Leah Murray Albert, Kim L. Kirn, David E. Crawford
Hearing Site: St. Louis, MO
|  | $1,214,750 |
| 22-02213 | 10/18/2023 | Claimant(s): Michael Ott
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin Brooks
Arbitrator(s): Kim L. Kirn
Hearing Site: St. Louis, MO
| | |
| 20-02796 | 02/02/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Vatsala Sahay
Respondent(s): Raymond James Financial Services., Kent Rhoades
Respondent Lawyers(s): Matthew B. Baum
Arbitrator(s): Scott T. Clavenna, Kim L. Kirn, Julie Marie Miller
Hearing Site: Little Rock, AR
| | |
| 19-01006 | 07/15/2022 | Claimant(s): Frank K. Lee, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Stuart D. Summers, Steven Michael McCauley, Kim L. Kirn
Hearing Site: Louisville, KY
| | $609,050 |
| 20-01992 | 04/22/2021 | Claimant(s): Christopher Wright
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Kim L. Kirn
Hearing Site: St. Louis, MO
| | |
| 19-00450 | 02/24/2020 | Claimant(s): Mary Hagen
Claimant Lawyers(s): Mary Hagen
Respondent(s): Steven Stillman
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Anthony J. Soukenik, Michael S. Jordan, Kim L. Kirn
Hearing Site: St. Louis, MO
| | Dismissed by Rule 12206/12504 |
| 17-02896 | 08/06/2019 | Claimant(s): Edward Brucker, Eugene E. Brucker Revocable Trust DTD
Claimant Lawyers(s): Glenn E. Davis
Respondent(s): David Mesker, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert J. Gryzmala, James M. Stern, Kim L. Kirn
Hearing Site: St. Louis, MO
| | $170,379 |
| 16-01819 | 09/22/2017 | Claimant(s): Elizabeth Benitone, Troy Benitone
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Janet P. Jakubowicz
Arbitrator(s): Janet M. Thompson, David F. Barrett, Kim L. Kirn
Hearing Site: St. Louis, MO
| | $568,699 |
| 16-00025 | 05/03/2017 | Claimant(s): The Dennis Keyser Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): H. Beck.
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Thomas J. Ray, Kim L. Kirn, Marjorie Lynn Gold
Hearing Site: St. Louis, MO
| | Expungement |
| 15-01228 | 01/20/2017 | Claimant(s): Kenneth Rowan
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Bruce Guarino, Chris Wiseman, George Hasapes, Glen Stifelman, Rockwell Global Capital LLC
Respondent Lawyers(s): Aegis J. Frumento, Chris Michael Wiseman, George Peter Hasapes, Robert M. Bursky
Arbitrator(s): Michael L. Lyons, Kim L. Kirn, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | $0 |
