| 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 |
| 15-01290 | 12/16/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Neal Alster
Respondent Lawyers(s): Neal Evan Alster
Arbitrator(s): Rody P. Biggert
Hearing Site: St. Louis, MO
| | |
| 16-02115 | 12/12/2016 | Claimant(s): Claude Scott
Claimant Lawyers(s): Claude A. Scott
Respondent(s): Edward Jones
Respondent Lawyers(s): Robert J. Osdieck
Arbitrator(s): Julius Z. Frager
Hearing Site: St. Louis, MO
| | $535 |
| 15-03092 | 12/09/2016 | Claimant(s): Revocable Trust of Ralph Day
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael L. Lyons, James P. O'Grady, Charles Orlove
Hearing Site: St. Louis, MO
| | Expungement |
| 15-03056 | 11/22/2016 | Claimant(s): Larry Douglas, Terra Douglas
Claimant Lawyers(s): Joseph Delich
Respondent(s): Larry Waldrop, Matthew Waldrop, Voya Financial Advisors.
Respondent Lawyers(s): C. Bryce Benson
Arbitrator(s): William M. Getzoff
Hearing Site: St. Louis, MO
| | $43,993 |
| 16-01614 | 10/18/2016 | Claimant(s): Jacob Podber
Claimant Lawyers(s): Jacob Podber
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
| | $56 |
| 15-03390 | 09/30/2016 | Claimant(s): Hugh Murray
Claimant Lawyers(s): Hugh Vincent Murray
Respondent(s): Michael Standley, Steven Larson
Respondent Lawyers(s): Michael Thomas Standley, Steven Ellsworth Larson
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 15-01030 | 06/16/2016 | Claimant(s): Robert Szabo
Claimant Lawyers(s): Russell Mark Nasteff
Respondent(s): UBS Financial Services Inc., Thomas Freeman
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): William M. Getzoff, Keith E. Mattern, Robert Joseph Osdieck
Hearing Site: St. Louis, MO
| | $0 |
| 15-03306 | 05/04/2016 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Thipp Ratsaboutseua
Respondent Lawyers(s): Thipp Ratsaboutseua
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | |
| 14-01639 | 03/01/2016 | Claimant(s): Marc Nolan
Claimant Lawyers(s): David Cosgrove
Respondent(s): Michael Gelina, MetLife Securities.
Respondent Lawyers(s): Lawrence R. Goldberg, Martin Harris
Arbitrator(s): Keith E. Mattern, Kim L. Kirn, Joseph K Marshall
Hearing Site: St. Louis, MO
| | |
