| 12-00315 | 09/11/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Thomas Weaver
Respondent Lawyers(s): Thomas Andrew Weaver
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | |
| 12-01048 | 08/30/2013 | Claimant(s): Jacqueline Hayes
Claimant Lawyers(s): Jacqueline Hayes
Respondent(s): Curtis Triggs, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Curtis William Triggs, James C. Browning
Arbitrator(s): Paul Lansing, Jack D. Olson, Phillip L. Wisely
Hearing Site: St. Louis, MO
|  | $0 |
| 12-00766 | 07/18/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin J. Smith
Respondent(s): Matthew Kallman
Respondent Lawyers(s): David R. Bohm
Arbitrator(s): Michael S. Hill, James M. Stern, Alan A. Sachs
Hearing Site: St. Louis, MO
| | |
| 12-04357 | 07/18/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Lisa M. Lewis
Respondent(s): Deanna Kakouris
Respondent Lawyers(s): Deanna Zimmer Kakouris
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | |
| 12-03086 | 07/18/2013 | Claimant(s): Jill Luft, Richard Luft, FBO Luft Living Trust
Claimant Lawyers(s): Richard N. Luft
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | $300 |
| 11-02093 | 06/20/2013 | Claimant(s): Robert Buser, Roseann Buser
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Keith E. Mattern, Frederick Michael Switzer, Joan M. Esserman
Hearing Site: St. Louis, MO
| | $0 |
| 12-03061 | 05/15/2013 | Claimant(s): Robert L. Timken
Claimant Lawyers(s): Robert L. Timken
Respondent(s): Wells Fargo Advisors, Lucas Glass
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Paul Lansing
Hearing Site: St. Louis, MO
| | $0 |
| 10-02565 | 04/17/2013 | Claimant(s): Bob Rastberger, Brad Amundson, Bridget Fletcher, Kenneth Ahrens, Perry DiClemente, Mark and Sarah Salvia, Timothy and Barbara McIntyre
Claimant Lawyers(s): Albert Watkins
Respondent(s): Michael Baker, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Michael G. Baker
Arbitrator(s): Anthony J. Soukenik, Thomas J. Ray, Christopher J. Janson
Hearing Site: St. Louis, MO
| | $304,470 |
| 12-03103 | 02/13/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Mark Green
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Monette E. Draper
Hearing Site: St. Louis, MO
| | |
| 11-04627 | 01/23/2013 | Claimant(s): William Bud
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): Edward C. Lawrence, Thomas J. Ray, David F. Barrett
Hearing Site: St. Louis, MO
| | Expungement |
