| 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
| | |
| 15-00935 | 01/08/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Scott T. Earl
Respondent(s): James Rotter
Respondent Lawyers(s): James Thomas Rotter
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 13-03375 | 12/29/2015 | Claimant(s): Leda Sander, Georgetown Mortgage Corp., Sandra E. Sander IRA, Georgetown Mortgage Corp Profit Sharing, Harry Sander Trust, Sandra E. Sander Rev. Trust
Claimant Lawyers(s): Allen P. Press
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael L. Lyons, Joseph R. Soraghan, M. Eileen Dorsey
Hearing Site: St. Louis, MO
|  | $0 |
| 15-00656 | 12/21/2015 | Claimant(s): Dolores Ottenad, William Ottenad
Claimant Lawyers(s): William L. Ottenad
Respondent(s): Stifel, Nicolaus & Co.., Phillip Carapella
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | $12,800 |
| 14-02589 | 11/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jon Gilstrap
Respondent Lawyers(s): Jon Russel Gilstrap
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | |
| 14-03867 | 10/22/2015 | Claimant(s): Donna Bond, Mel Bond
Claimant Lawyers(s): D. Daxton White
Respondent(s): Berthel, Fisher & Company Financial
Respondent Lawyers(s): Debra Weiss
Arbitrator(s): Jack D. Olson, Alan A. Sachs, Ollie Sam Ackley
Hearing Site: St. Louis, MO
| | $0 |
| 15-01085 | 10/12/2015 | Claimant(s): Martin Oberman
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Bettymae Blum
Respondent Lawyers(s): Richard Fosher
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | Expungement |
| 14-02530 | 06/29/2015 | Claimant(s): Judith M. Leicht IRA, Judith M. Leicht Living Trust
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Marc Schneider, Tiaa-Cref Individual & Institutional Srv
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Michael L. Lyons, Frederick Michael Switzer, Alan A. Sachs
Hearing Site: St. Louis, MO
| | Expungement |
| 14-03716 | 06/12/2015 | Claimant(s): Mark Nance
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Paul Lansing
Hearing Site: St. Louis, MO
| | $25 |
| 13-02875 | 06/05/2015 | Claimant(s): Christopher Wright
Claimant Lawyers(s): David B. Helms
Respondent(s): Northwestern Mutual Investment Services,, Northwestern Mutual Life Insurance Co.
Respondent Lawyers(s): Stefan R. Dandelles
Arbitrator(s): Gerald Cohen, Joseph V. Simeri, Julie L. DeWitt
Hearing Site: St. Louis, MO
| | |
