| 09-00239 | 01/29/2014 | Claimant(s): Norman Meyer
Claimant Lawyers(s): Helmut Starr
Respondent(s): Questar Asset Management., Questar Capital Corporation
Respondent Lawyers(s): James F. Jorden
Arbitrator(s): Thomas J. Ray, Albert J. Haller, Teresa Marie Boyer Allgeyer
Hearing Site: St. Louis, MO
| | |
| 12-02966 | 01/06/2014 | Claimant(s): Robert Schneider
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): John Chmielewski, Investment Planners.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
|  | Expungement |
| 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
| | |
| 12-04144 | 12/13/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Patrick Londrigan
Respondent Lawyers(s): Thomas F. Londrigan
Arbitrator(s): Tim V. Young, Brian T. Carter, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | |
| 12-03051 | 12/02/2013 | Claimant(s): Gary Siegfried
Claimant Lawyers(s): Gary D. Siegfried
Respondent(s): John Sweeney, ING Financial Partners., ING Reliastar Life Insurance Company
Respondent Lawyers(s): James V. Garvey
Arbitrator(s): Thomas J. Ray, M. Eileen Dorsey, Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | |
| 12-01068 | 11/14/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Steven Elefson
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Thomas J. Ray, Jerry M. Deters, David Cottingham Mann
Hearing Site: St. Louis, MO
| | |
| 11-04739 | 11/01/2013 | Claimant(s): J.J.B. Hilliard, W.L. Lyons
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Steve Mahler
Respondent Lawyers(s): Frank "Kim" Breese
Arbitrator(s): R. Phillip Reed, Gary P. Price, Matthew P. McCauley
Hearing Site: St. Louis, MO
| | |
| 12-04126 | 10/17/2013 | Claimant(s): Faye Morrison
Claimant Lawyers(s): Faye L. Morrison
Respondent(s): Edward Jones
Respondent Lawyers(s): Molly R. Batsch
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | |
| 12-01997 | 10/07/2013 | Claimant(s): Matthew Plymell
Claimant Lawyers(s): Mary E. Hodges
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Gardiner B. Davis
Arbitrator(s): Leah A. Murray, Stuart D. Summers, David Brian Cohen
Hearing Site: St. Louis, MO
| | |
| 12-03292 | 09/24/2013 | Claimant(s): Carmella DiMercurio
Claimant Lawyers(s): Mitchell D. Johnson
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sharon R. Merriman
Hearing Site: St. Louis, MO
| | $62,501 |
