| 20-00778 | 03/02/2021 | Claimant(s): Christopher Jacob
Claimant Lawyers(s): Brian Luther
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Robert J. Gryzmala
Hearing Site: St. Louis, MO
| | |
| 20-01412 | 02/23/2021 | Claimant(s): Amy Boyet Besse
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Rainmaker Securities
Respondent Lawyers(s): Dominic Cioffi
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
| | |
| 17-03513 | 02/23/2021 | Claimant(s): David Ball, Misako Ball, Sally Ball
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): John Shaw
Arbitrator(s): Leah Murray Albert, Joan M. Esserman, David E. Crawford
Hearing Site: St. Louis, MO
|  | $418,994 |
| 20-01574 | 12/11/2020 | Claimant(s): Sheldon Harber
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
| | |
| 20-01510 | 12/04/2020 | Claimant(s): Betty Flynn, Ronald Flynn
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Julius Z. Frager
Hearing Site: St. Louis, MO
| | Dismissed by Rule 12206 |
| 20-00776 | 12/03/2020 | Claimant(s): Christopher Jacob
Claimant Lawyers(s): Brian Luther
Respondent(s): First Heartland Capital., Transamerica Financial Advisors
Respondent Lawyers(s): Jeanne A. Jehle, Susan D. Duff
Arbitrator(s): Robert J. Gryzmala
Hearing Site: St. Louis, MO
| | |
| 19-01791 | 11/17/2020 | Claimant(s): Mohamad Alhalabi
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr
Arbitrator(s): Philip J. Glick
Hearing Site: St. Louis, MO
| | Dismissed |
| 20-00795 | 07/07/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Joseph Likens
Respondent Lawyers(s): Joseph Alan Likens
Arbitrator(s): Philip J. Glick
Hearing Site: St. Louis, MO
| | |
| 19-01678 | 06/25/2020 | Claimant(s): Beverly D Gitelman Revoc. Living Trust
Claimant Lawyers(s): Laura Schrick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Paul L. Matecki, Joseph R Soraghan, David E. Crawford
Hearing Site: St. Louis, MO
| | Expungement |
| 19-00367 | 05/13/2020 | Claimant(s): Steve Smith
Claimant Lawyers(s): Mark S. Simms
Respondent(s): Miles James, Cetera Investment Services LLC
Respondent Lawyers(s): Christina Z. Vourakis, Jeremy A. Root
Arbitrator(s): Barry Goldman
Hearing Site: St. Louis, MO
| | $0 |
