| 07-01147 | 11/18/2010 | Claimant(s): The Estate of Lessie M. Delk
Claimant Lawyers(s): John J. Allan
Respondent(s): Kelly Waller, A.G. Edwards & Sons.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Robert J. Gryzmala, John R. Loss, Heath O. Lauseng
Hearing Site: St. Louis, MO
|  | $0 |
| 09-02365 | 11/17/2010 | Claimant(s): Thomas J. Hillman Family Trust
Claimant Lawyers(s): Mark E. Goodman
Respondent(s): Bernard King, UBS Financial Services Inc.
Respondent Lawyers(s): Christopher T. O'Connor
Arbitrator(s): Gerald Cohen, Thomas J. Ray, Jennifer McGillivary
Hearing Site: St. Louis, MO
| | $100,000 |
| 09-02974 | 11/17/2010 | Claimant(s): Edward Heet and Barbara Heet
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Mark R. Lee, Joseph P. Keaveny, James M. Stern
Hearing Site: St. Louis, MO
| | Stipulated Award and Expungement |
| 09-00039 | 10/12/2010 | Claimant(s): Evan T. Williams Trust
Claimant Lawyers(s): David Gaba
Respondent(s): Homer Vining, Morgan Keegan & Company.
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Thomas J. Ray, M. Eileen Dorsey, James M. Stern
Hearing Site: St. Louis, MO
| | $375 |
| 09-03841 | 09/17/2010 | Claimant(s): Catharine Bloss, Donald Bloss
Claimant Lawyers(s): Thomas H. Lake
Respondent(s): Edwin Harris, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | $0 |
| 09-07030 | 07/27/2010 | Claimant(s): Florence Isham
Claimant Lawyers(s): Fred S. Clark
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): J. Curtis McCubbin
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO
| | $0 |
| 09-01829 | 07/02/2010 | Claimant(s): Leo Steck, Mary Steck, The Leo A. Steck Trust, The Mary L. Steck EAL Trust,, The Mary L. Steck Rev Trust, The Mary L. Steck VFL Trust,, The Sally P. Limbert Trust
Claimant Lawyers(s): Sherri C. Strand
Respondent(s): James McClellan
Respondent Lawyers(s): James Steele McClellan
Arbitrator(s): Thomas J. Ray, Keith E. Mattern, William Stark Port
Hearing Site: St. Louis, MO
| | $382,550 |
| 09-01724 | 05/24/2010 | Claimant(s): Clyde Byram, Meleena Byram
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): Julie Rosenthal, William Rosenthal, Rosenthal Retirement Planning LP
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Leah A. Murray, Robert W. Dempsey, Michael William Petty
Hearing Site: St. Louis, MO
| | $52,600 |
| 08-04919 | 03/26/2010 | Claimant(s): Mark Martin, Nancy Martin
Claimant Lawyers(s): Kenton E. Knickmeyer
Respondent(s): Charles Schwab & Co.., Cortland Associates Inc
Respondent Lawyers(s): Phillip J. Mackey, R. Prescott Sifton
Arbitrator(s): Thomas J. Ray, R. Phillip Reed, Julie L. DeWitt
Hearing Site: St. Louis, MO
| | $0 |
| 09-00882 | 03/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Daniel Henrichs
Respondent Lawyers(s): Susan K. Roach
Arbitrator(s): Gerald Cohen, Sean Patrick Abernathy, David B. Lacks
Hearing Site: St. Louis, MO
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