| 11-04088 | 12/17/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Morgan Stanley, Todd Thrasher
Respondent Lawyers(s): S. Francis Baldwin, Sal Hernandez
Arbitrator(s): Thomas J. Ray, Phillip L. Wisely, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | |
| 11-01938 | 12/18/2012 | Claimant(s): Mary O'Sullivan, Neil J. O'Sullivan Trust, Thomas E. O'Sullivan Rev liv Trust
Claimant Lawyers(s): Jonathan F. Andres
Respondent(s): Kathryn Winter, Moloney Securities Co..
Respondent Lawyers(s): Jeff Jamieson, Kenton E. Knickmeyer
Arbitrator(s): R. Phillip Reed, Jerry M. Deters, Robert W. Dempsey
Hearing Site: St. Louis, MO
|  | $150,000 |
| 11-00185 | 04/17/2012 | Claimant(s): Rosetta Salzman Revocable Living Trust
Claimant Lawyers(s): Kurt J. Schafers
Respondent(s): Wells Fargo Advisors, Mary Paulin, Robert Laegeler
Respondent Lawyers(s): Gardiner B. Davis
Arbitrator(s): Michael S. Hill, David B. Lacks, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $61,894 |
| 09-01724 | 05/24/2010 | Claimant(s): Clyde Byram, Meleena Byram
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): Julie Rosenthal, William Rosenthal, Rosenthal Retirement Planning LP
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Leah A. Murray, Robert W. Dempsey, Michael William Petty
Hearing Site: St. Louis, MO
| | $52,600 |
| 09-01900 | 02/02/2010 | Claimant(s): Elizabeth Roth
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): J.J.B. Hilliard, W.L. Lyons, Leonard Mcgehee
Respondent Lawyers(s): Tonya J. Austin
Arbitrator(s): M. Eileen Dorsey, Marilyn T. Selby, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $30,000 |
| 06-01762 | 11/24/2009 | Claimant(s): Dan Wittman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Michael L. Lyons, Robert J. Beck, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $75,300 |
| 06-02162 | 01/15/2008 | Claimant(s): Donald P. McAdams Rev/Int Trust, Donna McAdams Rev/Int Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christopher Wilson
Arbitrator(s): David E. Scott, Jeffrey Caleb Etter, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $31,149 |
