| 19-02660 | 05/05/2020 | Claimant(s): Paul Larson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Sean O'Hanlon
Arbitrator(s): Michael S. Matek
Hearing Site: St. Louis, MO
| | |
| 18-02824 | 03/23/2020 | Claimant(s): Vito R Buzzotta and Merle L Buzzotta JT
Claimant Lawyers(s): David S. Corwin
Respondent(s): John Russell, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Donald D. McBride, John Hein
Arbitrator(s): Albert J. Haller, James M. Stern, Margaret Ann Kwawer
Hearing Site: St. Louis, MO
|  | $800,000 |
| 18-00515 | 03/13/2020 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Matthew Beaver
Respondent Lawyers(s): Matthew Beaver
Arbitrator(s): Stephen Wayne Medlin, Stuart W. Smith, David F. Barrett
Hearing Site: St. Louis, MO
| | |
| 17-02936 | 03/05/2020 | Claimant(s): Cynthia Burch
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Patrick Watts
Arbitrator(s): Philip J. Glick, William M. Azkoul, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | $750,000 |
| 19-00450 | 02/24/2020 | Claimant(s): Mary Hagen
Claimant Lawyers(s): Mary Hagen
Respondent(s): Steven Stillman
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Anthony J. Soukenik, Michael S. Jordan, Kim L. Kirn
Hearing Site: St. Louis, MO
| | Dismissed by Rule 12206/12504 |
| 19-02847 | 02/11/2020 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Garry T. Stevens
Respondent(s): Sherri Weintrop
Respondent Lawyers(s): Sherri Frank Weintrop
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: St. Louis, MO
| | |
| 19-02077 | 02/07/2020 | Claimant(s): Michael O'Reilly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Ronald T. Klimas, Compliance Director
Arbitrator(s): Michael S. Matek
Hearing Site: St. Louis, MO
| | |
| 17-02420 | 01/07/2020 | Claimant(s): Sandra Alford, Sandra C. Alford Revocable Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Philip J. Glick, Albert J. Haller, Joshua Eric Lubatkin
Hearing Site: St. Louis, MO
| | $2,629,270 |
| 19-00452 | 09/26/2019 | Claimant(s): Mark Schlipman
Claimant Lawyers(s): Matt Wolper
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Robert J. Scafuri
Hearing Site: St. Louis, MO
| | |
| 17-02896 | 08/06/2019 | Claimant(s): Edward Brucker, Eugene E. Brucker Revocable Trust DTD
Claimant Lawyers(s): Glenn E. Davis
Respondent(s): David Mesker, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert J. Gryzmala, James M. Stern, Kim L. Kirn
Hearing Site: St. Louis, MO
| | $170,379 |
