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 |
21-02573 | 05/25/2022 | Claimant(s): Timothy Souhrada Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO
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21-02040 | 05/13/2022 | Claimant(s): Diana McDaniel, Marc McDaniel Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Money Concepts Capital Corp Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Robert Stewart Barney, MaryJane Rabier, Gerald Michael Richardson Hearing Site: St. Louis, MO
| | Expungement |
19-02809 | 05/10/2022 | Claimant(s): William Metheny Claimant Lawyers(s): Richard B. Fosher Respondent(s): Network 1 Financial Securities Inc. Respondent Lawyers(s): Craig A. Riha Arbitrator(s): Michael J. Meeusen, Joshua Eric Lubatkin, Christopher Allen Hearing Site: St. Louis, MO
| | Expungement |
20-03374 | 03/21/2022 | Claimant(s): Alicia Friedrichs, Andrew Knopfel, Barbara Stephens, Brian Bazata, Carolyn Lura, Carson Stephens, Connor Emshousen, Curtis Stanfill, Daniel Orms, David Friedrichs, Dawn Emshousen, Douglas Brown, Douglas Egbert, Douglas Havelka, Eddie Case, Eileen Hubert, Elliott Higginbotham, Gerry Stephens, Heidi Bazata, Hunter Stephens, Jana Reilly, Jeff Finley, Jerry Stephens, John Carter, John Hubert, Kay Thornton, Kerri Bridges, Kurtis Emshousen, Larry Guthrie, Lee Friedman, Leslie Stephens, Malinda Roberson, Mary Corsair, Michael Dorman, Nelson Rabdall, Robert Bridges, Roger Dowdy, Ronald Carter, Stephanie Orms, Steven Friedman, Terry Ferguson, Thomas Marks, Timothy Dorman, Varda Case, Virginia Schumacher, William Reilly, William Ridings, Jerry William Stephens Trust, Ronald N. Carter Revocable Trust, Steven A Friedman Revocable Trust Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn R. Eldridge Arbitrator(s): Leah Murray Albert, James M. Stern, David E. Crawford Hearing Site: St. Louis, MO
| | $0 |
21-01911 | 03/10/2022 | Claimant(s): Joseph Weinbauer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc Respondent Lawyers(s): Shelley R. Davenport Arbitrator(s): Gregory G. Gocek Hearing Site: St. Louis, MO
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21-01241 | 02/04/2022 | Claimant(s): Adam Clyne Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Legend Equities Corporation Respondent Lawyers(s): Jessica Levine Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO
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20-03396 | 01/18/2022 | Claimant(s): Maria Albers Claimant Lawyers(s): Richard B. Fosher Respondent(s): MSC - BD Respondent Lawyers(s): Christopher D. Seps Arbitrator(s): James M. Stern, Ericka Cables, Jane Curtman-Schroeder Hearing Site: St. Louis, MO
| | $221,339 |
20-03309 | 12/09/2021 | Claimant(s): Kevin Sprouse Claimant Lawyers(s): Kevin E. Sprouse Respondent(s): Robinhood Financial., Robinhood Securities Respondent Lawyers(s): Richard J. Davis Arbitrator(s): Jeffry M. Bauer Hearing Site: St. Louis, MO
| | $0 |