| 12-01858 | 01/22/2014 | Claimant(s): Carolyn Hamilton, Frank A. Hamilton (Deceased)IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Thomas J. McAllister, Irving A. Chesler, Robert David Epstein
Hearing Site: Indianapolis, IN
|  | Expungement |
| 09-02216 | 03/01/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Steven Farris
Respondent Lawyers(s): Steven E. Farris
Arbitrator(s): Thomas J. McAllister, Jesse David Hill, Michael William Petty
Hearing Site: St. Louis, MO
| | |
| 09-05258 | 04/08/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): David Moore
Respondent Lawyers(s): David N. Moore
Arbitrator(s): W. Pat Conners, Thomas J. McAllister, Erwin John Dugasz
Hearing Site: Columbus, OH
| | |
| 07-03023 | 03/26/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Brennan
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Thomas J. McAllister, Jerry M. Deters, Heath O. Lauseng
Hearing Site: St. Louis, MO
| | |
| 07-01107 | 06/05/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gilberta Dorsey
Respondent Lawyers(s): Anthony B. Cameron
Arbitrator(s): Thomas J. McAllister, William Stark Port, Matthew R. Salamon
Hearing Site: St. Louis, MO
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