| 10-05182 | 12/19/2012 | Claimant(s): Elizabeth Keen
Claimant Lawyers(s): Joseph R. Soraghan
Respondent(s): LPL Financial LLC, Transamerica Financial Advisors
Respondent Lawyers(s): Amanda C. Hawley, James F. Koehler
Arbitrator(s): Keith E. Mattern, John R. Loss, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | Expungement |
| 11-01938 | 12/18/2012 | Claimant(s): Mary O'Sullivan, Neil J. O'Sullivan Trust, Thomas E. O'Sullivan Rev liv Trust
Claimant Lawyers(s): Jonathan F. Andres
Respondent(s): Kathryn Winter, Moloney Securities Co..
Respondent Lawyers(s): Jeff Jamieson, Kenton E. Knickmeyer
Arbitrator(s): R. Phillip Reed, Jerry M. Deters, Robert W. Dempsey
Hearing Site: St. Louis, MO
|  | $150,000 |
| 11-00591 | 12/13/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Whitney Kenter
Respondent Lawyers(s): Darrell J. Graham
Arbitrator(s): Albert J. Haller, R. Phillip Reed, David J. Bokal
Hearing Site: St. Louis, MO
| | |
| 11-01040 | 07/05/2012 | Claimant(s): James N. Vangilder Revocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Gerald Cohen, Julius Z. Frager, Marilyn T. Selby
Hearing Site: St. Louis, MO
| | $0 |
| 10-04359 | 06/13/2012 | Claimant(s): High Ridge Fire Protection District
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): LPL Financial LLC, Richard Glenn
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Alan A. Sachs
Hearing Site: St. Louis, MO
| | Expungement |
| 10-05820 | 04/27/2012 | Claimant(s): Surendra Gupta
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Frederick Michael Switzer, Robert J. Bohle, David F. Barrett
Hearing Site: St. Louis, MO
| | Expungement |
| 09-06855 | 04/20/2012 | Claimant(s): Christopher Noonan, Stephen Patton, Thomas Noonan
Claimant Lawyers(s): Scott C. Helmholz, Steven W. Koslovsky
Respondent(s): Morgan Stanley, William Lee
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Thomas J. Ray, Jesse David Hill, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | |
| 10-05530 | 04/17/2012 | Claimant(s): Patricia Sturgis, Revocable Grantor Trust of June M. Davis
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Paul M. Foster, Julius Z. Frager, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | Expungement |
| 11-00185 | 04/17/2012 | Claimant(s): Rosetta Salzman Revocable Living Trust
Claimant Lawyers(s): Kurt J. Schafers
Respondent(s): Wells Fargo Advisors, Mary Paulin, Robert Laegeler
Respondent Lawyers(s): Gardiner B. Davis
Arbitrator(s): Michael S. Hill, David B. Lacks, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $61,894 |
| 11-00870 | 03/26/2012 | Claimant(s): Doxa Family Partnership, L.P., Emily A. Schwarz Rev Living Trust, George Weber Jr. Trust etc.
Claimant Lawyers(s): Ronald B. Ziegler
Respondent(s): LPL Financial LLC, Peter Reinecke
Respondent Lawyers(s): Donald J. Mehan, Peter W. Gillies
Arbitrator(s): Gerald Cohen, John R. Loss, Casey John Whalley
Hearing Site: St. Louis, MO
| | Expungement |
