16-02316 | 09/04/2018 | Claimant(s): Dwain Owens, Myron Owens, Strategic Legacy Advisors. Claimant Lawyers(s): Rodney K. Vincent Respondent(s): Margaret Tietjen, Richard Woltman, Girard Securities. Respondent Lawyers(s): R. Craig Zafis Arbitrator(s): Marilyn R. Lewis, Verne R. Gray, David K. Schaal Hearing Site: Omaha, NE
| | |
17-02660 | 08/30/2018 | Claimant(s): Jerrold Flatt Claimant Lawyers(s): Gail E. Boliver Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Robert J. Scafuri, Verne R. Gray, David E. Jarvis Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
14-01439 | 02/28/2018 | Claimant(s): Mary Anderson, William Anderson, A.M. Anderson Properties, L.C., Anderson Properties., NNN Parkway Corporate Plaza 21, Mark Anderson Properties Claimant Lawyers(s): Steven V. Hunter Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Paul D. Gamez Arbitrator(s): Donald N. Tolin, Verne R. Gray, Alain Frecon Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
14-02921 | 05/27/2016 | Claimant(s): William Eddy, Barbara Eddy Trust, William J. Eddy Trust Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): John Weiss, Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): M. W. Gear, William B. Ross, Verne R. Gray Hearing Site: Des Moines, IA
| | Expungement |
15-00473 | 03/04/2016 | Claimant(s): Kim Stern Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Sagepoint Financial. Respondent Lawyers(s): Kevin R. McManaman Arbitrator(s): Terry F. Peppard, Brett W. Olander, Verne R. Gray Hearing Site: Des Moines, IA
| | $57,925 |
14-00194 | 08/22/2014 | Claimant(s): James Nagengast, Kevin Miller Claimant Lawyers(s): Elaine M. Rice Respondent(s): Securities America. Respondent Lawyers(s): Carmen Brun Arbitrator(s): Robert G. Scott, Thomas J. Pleiss, Verne R. Gray Hearing Site: Omaha, NE
| | |
13-00137 | 03/03/2014 | Claimant(s): Cheryl Christiansen Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Edward Jones Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Terry F. Peppard, Arthur Richard Tow, Verne R. Gray Hearing Site: Des Moines, IA
| | Expungement |
12-03509 | 05/03/2013 | Claimant(s): James Nagengast, Kevin Miller Claimant Lawyers(s): Elaine M. Rice Respondent(s): Securities America. Respondent Lawyers(s): Bryan M. Ward Arbitrator(s): Thomas J. Pleiss, Verne R. Gray, John R. Loss Hearing Site: Omaha, NE
| | |
09-03429 | 06/08/2011 | Claimant(s): Edgar Hagerty, Joann Hagerty, EWH Investments, JDH Investments, Edgar W. Hagerty Trust, Joann Didik Hagerty Trust Claimant Lawyers(s): James M. Bausch Respondent(s): Kathryn Schubert, Merrill Lynch Pierce Fenner & Smith Inc., Ronald Lassek Respondent Lawyers(s): Bryan Reyhani Arbitrator(s): M. W. Gear, Richard L. Mitchell, Verne R. Gray Hearing Site: Omaha, NE
| | $435,000 |
09-02187 | 03/05/2010 | Claimant(s): Douglas Vander Weide Claimant Lawyers(s): Michael A. Dee Respondent(s): David Jesse, Richard Keeling, Robin Marshall Respondent Lawyers(s): John D. Hintze Arbitrator(s): Charles F. Custer, Richard L. Mitchell, Verne R. Gray Hearing Site: Des Moines, IA
| | |