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FINRA Awards for St. Louis, MO

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Displaying 211-220 out of 233 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0221701/16/2009Claimant(s): Albert Watkins, Nancy Watkins
Claimant Lawyers(s): Mark David Hunter
Respondent(s): Anthony Guerrerio, Wedgewood Partners.
Respondent Lawyers(s): Richard B. Walsh
Arbitrator(s): Julius Z. Frager, Robert J. Beck, Donna L. Pavlick
Hearing Site: St. Louis, MO
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08-0044212/30/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Daine C. Fischer
Respondent(s): Hal Klinger
Respondent Lawyers(s): Thomas C. DeVoto
Arbitrator(s): William Stark Port
Hearing Site: St. Louis, MO
08-0052511/06/2008Claimant(s): Josef Westkamp
Claimant Lawyers(s): Werner A. Meier
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): David B. Helms
Arbitrator(s): R. Phillip Reed, Dennis Jay Capriglione, Alan A. Sachs
Hearing Site: St. Louis, MO
Checkmark IconDismissed by Rule 12206
07-0274211/03/2008Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Alicia Etre
Respondent(s): Gene Harshman, Karen Loeschen, Krista Savage, Merrill Lynch Pierce Fenner & Smith Inc., Richard Marcolla, Robert Barry, Thomas Cutrone, William Easterling
Respondent Lawyers(s): Curtis C. Calloway, Todd J. Kaiser
Arbitrator(s): John N. Reidy, Frederick Michael Switzer, John Bruce Witwer
Hearing Site: St. Louis, MO
Checkmark Icon$265,500
06-0230710/15/2008Claimant(s): Robert J. and Betty J. Treat
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Natalie T. Furniss
Arbitrator(s): Mark D. Sadow, John R. Loss, Jeffrey Caleb Etter
Hearing Site: St. Louis, MO
Checkmark Icon$99,295
07-0297609/15/2008Claimant(s): Mary Sammelman
Claimant Lawyers(s): Steven Koslovsky
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Carrie J. Bechtold
Arbitrator(s): Michael L. Lyons, Sean Patrick Abernathy, Stuart W. Smith
Hearing Site: St. Louis, MO
Checkmark Icon$0
08-0072408/27/2008Claimant(s): Gerry Kessler
Claimant Lawyers(s): Howard W. Hirschhorn
Respondent(s): William Cody
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Michael L. Lyons, Thomas J. Ray, Mark E. Kessinger
Hearing Site: St. Louis, MO
Checkmark Icon$0
06-0538208/21/2008Claimant(s): Delmer Urbanczyk
Claimant Lawyers(s): Steve Koslovsky
Respondent(s): Janet Urbanczyk, Marvin Urbanczyk, A.G. Edwards & Sons., Roger David, Edward Jones
Respondent Lawyers(s): Donald D. McBride, Frederic M. Wolfram, William S. Port
Arbitrator(s): Albert J. Haller, David B. Lacks, David A. Fingerhut
Hearing Site: St. Louis, MO
Checkmark IconAccount transfer request is granted
07-0142808/21/2008Claimant(s): Alberta Murstein, Alberta Sue Murstein Rev. Living Trust
Claimant Lawyers(s): David O. Kreuter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Douglas Appel
Arbitrator(s): M. Eileen Dorsey, Albert J. Haller, Frederick Michael Switzer
Hearing Site: St. Louis, MO
Checkmark Icon$16,000
07-0292108/08/2008Claimant(s): Anthony Russo, Christopher Drake, David Luna, Stifel, Nicolaus & Co.., Donald Johns, Edward Gutierrez, Herbert Keyser, Jon Bostrom, Linda Swart-Scipione, Lisa Evans, Lisa McCrea, Manuel Lozano, Michael Nielsen, Raymond Reed
Claimant Lawyers(s): Joseph A. Dougherty, Kenneth C. Mennemeier
Respondent(s): Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Keith D. Patten, Robert W. Dempsey, Jeffrey N. Sullivan
Hearing Site: St. Louis, MO

233 Results

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