22-02213 | 10/18/2023 | Claimant(s): Michael Ott Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Equitable Advisors Respondent Lawyers(s): Kevin Brooks Arbitrator(s): Kim L. Kirn Hearing Site: St. Louis, MO
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20-04055 | 07/07/2023 | Claimant(s): Grant Montgomery Claimant Lawyers(s): John Phillips Respondent(s): Carter, Terry & Company. Respondent Lawyers(s): Scott Holcomb Esq. Arbitrator(s): Barry Goldman, Lynn Hirschfeld Brahin, Brenda Adams Hearing Site: St. Louis, MO
| | $100,000 |
23-00261 | 06/23/2023 | Claimant(s): Jinsong You Claimant Lawyers(s): Jinsong You Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Kara Moore Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO
| | $0 |
23-00262 | 06/09/2023 | Claimant(s): Jinsong You Claimant Lawyers(s): Jinsong You Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Travis L. Salmon Arbitrator(s): Paul Lansing Hearing Site: St. Louis, MO
| | $600 |
22-00559 | 01/31/2023 | Claimant(s): David Brooks Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cardinal Investments. Respondent Lawyers(s): Timothy C. Stubblefield Arbitrator(s): James M. Stern Hearing Site: St. Louis, MO
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17-00299 | 01/30/2023 | Claimant(s): Wells Fargo Advisors, Wells Fargo Clearing Services, Kyle Herrman, Renee Crittenden Claimant Lawyers(s): Thomas B. Lewis Respondent(s): Commerce Brokerage Services. Respondent Lawyers(s): Corey Franklin Arbitrator(s): Leah Murray Albert, Barry Goldman, Jane Cohen Hearing Site: St. Louis, MO
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22-00755 | 01/26/2023 | Claimant(s): David Brooks Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities Service Network Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Philip J. Glick Hearing Site: St. Louis, MO
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22-00523 | 01/06/2023 | Claimant(s): Robert Reed Claimant Lawyers(s): Brian J. Davis Respondent(s): Christopher Fusco, Lon Faccini, Arive Capital Markets Respondent Lawyers(s): Anthony Varbero, Christopher Thomas Fusco Arbitrator(s): Julius Z. Frager, Lynn Hirschfeld Brahin, Jane Cohen Hearing Site: St. Louis, MO
| | Dismissed |
20-03869 | 08/08/2022 | Claimant(s): Bonnie K. Johnston, Robert E. Johnston Claimant Lawyers(s): Richard B. Fosher Respondent(s): Money Concepts Capital Corp Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Lynn Hirschfeld Brahin, Gregory G. Gocek, Joan M. Esserman Hearing Site: St. Louis, MO
| | Expungement |
21-00236 | 08/05/2022 | Claimant(s): Detalus Advisors Claimant Lawyers(s): Donald J. Mehan Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Michael J. Tiffany Arbitrator(s): Robert J. Gryzmala, MaryJane Rabier Hearing Site: St. Louis, MO
| | Expungement |