| 13-00170 | 02/14/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Lisa Lewis
Respondent(s): Darren Warden
Respondent Lawyers(s): Darren Neal Warden
Arbitrator(s): Frederick Michael Switzer, John R. Loss, Matthew R. Salamon
Hearing Site: St. Louis, MO
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| 13-01412 | 02/11/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Sean Kirby
Respondent(s): Lauren Ganz
Respondent Lawyers(s): Lauren Gail Ganz
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
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| 11-04801 | 12/26/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Daniel Mccormack, Wayne Roys
Respondent Lawyers(s): Jonathan Stoler, Stephen D. Csajaghy
Arbitrator(s): Steven M. Feder, Mari C. Bush, Robert Allen Dudley
Hearing Site: Denver, CO
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| 12-02663 | 12/10/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jeffrey Thomas Kern
Respondent(s): Richelle Caswell
Respondent Lawyers(s): Richelle M. Caswell
Arbitrator(s): Lonnie L. Cunningham, John J. Miller, Ronald G. Bruch
Hearing Site: Kansas City, MO
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| 12-03601 | 11/25/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Jen Lee
Respondent Lawyers(s): Jen Yung Lee
Arbitrator(s): Herbert Murez, Ralph B. Perry, David S. Harrison
Hearing Site: Los Angeles, CA
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| 11-04019 | 10/22/2013 | Claimant(s): Jason Duhon
Claimant Lawyers(s): William M. Fontenot
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Eric D. Raphan
Arbitrator(s): Robert O. Halbert, Thomas L. Dueber, Richard Djokic
Hearing Site: Salt Lake City, UT
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| 12-02241 | 10/16/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak Yousefzadeh
Respondent(s): Christopher Oster
Respondent Lawyers(s): Christopher William Oster
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 12-00315 | 09/11/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Thomas Weaver
Respondent Lawyers(s): Thomas Andrew Weaver
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
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| 13-00324 | 08/19/2013 | Claimant(s): Virginia Nichols
Claimant Lawyers(s): Howard W. Slutsky
Respondent(s): Christopher Roberts, U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kevin R. McDermott
Hearing Site: Columbus, OH
|  | $3,713 |
| 12-00766 | 07/18/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin J. Smith
Respondent(s): Matthew Kallman
Respondent Lawyers(s): David R. Bohm
Arbitrator(s): Michael S. Hill, James M. Stern, Alan A. Sachs
Hearing Site: St. Louis, MO
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