| 18-01717 | 09/07/2018 | Claimant(s): Stifel, Nicolaus & Co.., Keefe, Bruyette & Woods.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Duncan Preston
Respondent Lawyers(s): Duncan Preston
Arbitrator(s): William M. Getzoff
Hearing Site: St. Louis, MO
| | |
| 18-02212 | 08/10/2018 | Claimant(s): Eliot Simon
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 18-00098 | 07/20/2018 | Claimant(s): George Meyer
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Susan L. Walker
Hearing Site: St. Louis, MO
| | |
| 17-01184 | 05/25/2018 | Claimant(s): Agnes Harris, Donald Harris, Trustees of their Retirement Accounts, Trustees of Their Family Trust
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): LPL Financial LLC, Robert Mitchell
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Michael L. Lyons, Tracy L. Allen, Brian Clinton Underwood
Hearing Site: St. Louis, MO
|  | Expungement |
| 17-01660 | 03/26/2018 | Claimant(s): Melissa Neeley
Claimant Lawyers(s): Sam Alton
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Sean O'Hanlon
Arbitrator(s): Susan L. Walker
Hearing Site: St. Louis, MO
| | |
| 17-02256 | 03/16/2018 | Claimant(s): Randall Larson
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Steve Cervantes
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: St. Louis, MO
| | |
| 17-01667 | 02/13/2018 | Claimant(s): Paul Larson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Kristen Kinney
Arbitrator(s): Julius Z. Frager
Hearing Site: St. Louis, MO
| | |
| 17-01894 | 12/26/2017 | Claimant(s): Syed Mahmud
Claimant Lawyers(s): Devin W Bone
Respondent(s): Alishia Terrill
Respondent Lawyers(s): Jon J. Schrotenboer
Arbitrator(s): Anthony J. Soukenik
Hearing Site: St. Louis, MO
| | |
| 17-02413 | 12/21/2017 | Claimant(s): Rita Mahn
Claimant Lawyers(s): Donald J. Mehan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): William M. Getzoff
Hearing Site: St. Louis, MO
| | |
| 16-02233 | 09/22/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Robert Anderson
Respondent Lawyers(s): Robert Anderson
Arbitrator(s): Sheldon Weinhaus, William Joseph Caprathe, John Anthony Tatom
Hearing Site: St. Louis, MO
| | |
