| 10-03318 | 04/21/2011 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Victor Hass
Respondent Lawyers(s): Victor N. Hass
Arbitrator(s): Walter N. Vernon
Hearing Site: St. Louis, MO
|  | $0 |
| 10-01365 | 04/06/2011 | Claimant(s): Melba Fredericks
Claimant Lawyers(s): Francis X. Duda,
Respondent(s): Bradford Sharpe, Uvest Financial Services Group., The Bank of Edwardsville
Respondent Lawyers(s): John A. Bruegger, Matthew V. Bartle
Arbitrator(s): Alan A. Sachs, Richard Lawrence Gowan, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | |
| 09-05955 | 04/01/2011 | Claimant(s): Cathy Winston, John Winston
Claimant Lawyers(s): W. Christopher McDonough
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): M. Jane Matoesian
Arbitrator(s): Anthony J. Soukenik, Alan A. Sachs, Richard H. Kuhlman
Hearing Site: St. Louis, MO
| | Expungement |
| 09-04933 | 03/31/2011 | Claimant(s): Barbara Cook, Barbara Bush Cook Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): John N. Reidy, David B. Lacks, Joan M. Esserman
Hearing Site: St. Louis, MO
| | $42,675 |
| 09-07161 | 03/31/2011 | Claimant(s): Mary Brandin, Mary Elliott Brandin Trust
Claimant Lawyers(s): John A. Klobasa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Marilyn T. Selby, Robert J. Bohle, David B. Lacks
Hearing Site: St. Louis, MO
| | $470,500 |
| 09-02216 | 03/01/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Steven Farris
Respondent Lawyers(s): Steven E. Farris
Arbitrator(s): Thomas J. McAllister, Jesse David Hill, Michael William Petty
Hearing Site: St. Louis, MO
| | |
| 10-04360 | 02/15/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Joseph Jackson
Respondent Lawyers(s): Joseph A. Jackson
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 09-06132 | 01/03/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Miller
Respondent Lawyers(s): Robert Douglas Miller
Arbitrator(s): David A. Youngerman
Hearing Site: St. Louis, MO
| | |
| 09-06001 | 12/31/2010 | Claimant(s): Hans-Dieter Neuen
Claimant Lawyers(s): Ira M. Potter
Respondent(s): Equity Concepts., Smith, Moore & Co.
Respondent Lawyers(s): Daniel E. Diemer, M. Jane Matoesian
Arbitrator(s): Keith E. Mattern, Joseph P. Keaveny, James M. Stern
Hearing Site: St. Louis, MO
| | |
| 09-05990 | 12/28/2010 | Claimant(s): Warren J. Meyer and Mary Ellen Meyer
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): David B. Lacks
Hearing Site: St. Louis, MO
| | $31,460 |
