| 14-02840 | 05/22/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shira Forman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 14-00346 | 02/26/2015 | Claimant(s): Davin Wenner
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Frederick Michael Switzer
Hearing Site: St. Louis, MO
|  | $0 |
| 14-00189 | 02/10/2015 | Claimant(s): Revocable Trust Agreement of RW&SH Herr
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | $94,500 |
| 13-02673 | 12/10/2014 | Claimant(s): Stephen Heil
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): LPL Financial LLC, Dennis Ulrich, Jeffrey Westerhold, Kimberly Loy, Steven Langendorf
Respondent Lawyers(s): Rachel E. Stephens, Thomas E. Berry
Arbitrator(s): Thomas J. Ray, Joseph V. Simeri, David J. Bokal
Hearing Site: St. Louis, MO
| | |
| 14-01335 | 11/26/2014 | Claimant(s): John McHugh
Claimant Lawyers(s): Joshua D. Jones
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | |
| 13-03578 | 11/25/2014 | Claimant(s): Paul Zachritz
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Byron E. Francis
Arbitrator(s): Michael L. Lyons, Alan A. Sachs, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | $0 |
| 13-02272 | 10/03/2014 | Claimant(s): Keith Clay
Claimant Lawyers(s): Reggie Copeland
Respondent(s): Edward Jones
Respondent Lawyers(s): Trish Martin
Arbitrator(s): Walter N. Vernon, Robert J. Bohle, Harold E. MacFarland
Hearing Site: St. Louis, MO
| | |
| 13-00481 | 09/29/2014 | Claimant(s): Jeffrey Bross
Claimant Lawyers(s): James S. McCarthy
Respondent(s): Anastasios Belesis, John Thomas Financial
Respondent Lawyers(s): Anastasios Belesis, Joseph Castellano
Arbitrator(s): Robert G. Haddenhorst, Thomas J. Ray, David J. Bokal
Hearing Site: St. Louis, MO
| | Stipulated Award |
| 12-03878 | 07/28/2014 | Claimant(s): June Duffy, Leroy Duffy, Susan Creasey, William Creasey
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): LPL Financial LLC, Gerald Seibert
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Julius Z. Frager, Albert J. Haller, Stuart W. Smith
Hearing Site: St. Louis, MO
| | Expungement |
| 12-03308 | 07/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Justin McBride
Respondent Lawyers(s): James B. Koch
Arbitrator(s): Gerald Cohen, Christopher J. Janson, John R. Loss
Hearing Site: St. Louis, MO
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