| 17-02544 | 11/21/2017 | Claimant(s): Tracy King
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Michael L. Lyons
Hearing Site: Louisville, KY
| | |
| 16-01294 | 07/11/2017 | Claimant(s): Jane Snyder
Claimant Lawyers(s): Jane C. Snyder
Respondent(s): John Horseman
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Michael L. Lyons, Anthony J. Soukenik, Frederick Michael Switzer
Hearing Site: St. Louis, MO
|  | $0 |
| 14-03506 | 06/27/2017 | Claimant(s): Barbara Dean
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Leah A. Murray, Michael L. Lyons, A.J. Seier
Hearing Site: St. Louis, MO
| | $0 |
| 15-01228 | 01/20/2017 | Claimant(s): Kenneth Rowan
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Bruce Guarino, Chris Wiseman, George Hasapes, Glen Stifelman, Rockwell Global Capital LLC
Respondent Lawyers(s): Aegis J. Frumento, Chris Michael Wiseman, George Peter Hasapes, Robert M. Bursky
Arbitrator(s): Michael L. Lyons, Kim L. Kirn, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | $0 |
| 15-03092 | 12/09/2016 | Claimant(s): Revocable Trust of Ralph Day
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael L. Lyons, James P. O'Grady, Charles Orlove
Hearing Site: St. Louis, MO
| | Expungement |
| 13-03375 | 12/29/2015 | Claimant(s): Leda Sander, Georgetown Mortgage Corp., Sandra E. Sander IRA, Georgetown Mortgage Corp Profit Sharing, Harry Sander Trust, Sandra E. Sander Rev. Trust
Claimant Lawyers(s): Allen P. Press
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael L. Lyons, Joseph R. Soraghan, M. Eileen Dorsey
Hearing Site: St. Louis, MO
| | $0 |
| 14-02530 | 06/29/2015 | Claimant(s): Judith M. Leicht IRA, Judith M. Leicht Living Trust
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Marc Schneider, Tiaa-Cref Individual & Institutional Srv
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Michael L. Lyons, Frederick Michael Switzer, Alan A. Sachs
Hearing Site: St. Louis, MO
| | Expungement |
| 13-03578 | 11/25/2014 | Claimant(s): Paul Zachritz
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Byron E. Francis
Arbitrator(s): Michael L. Lyons, Alan A. Sachs, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | $0 |
| 11-03996 | 02/06/2012 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Richard H. Kuhlman
Respondent(s): Bruce Barnhart, Daun Braswell, Keegan Baygents
Respondent Lawyers(s): Jonathan F. Andres
Arbitrator(s): Paul M. Foster, Michael L. Lyons, Keith E. Mattern
Hearing Site: St. Louis, MO
| | |
| 06-01762 | 11/24/2009 | Claimant(s): Dan Wittman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Michael L. Lyons, Robert J. Beck, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $75,300 |
