| 10-05114 | 09/26/2014 | Claimant(s): Mark Simon
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Ameriprise Financial Services., Larry Larson, Larson & Associates
Respondent Lawyers(s): Edward A. Walton, Miles D. Hart
Arbitrator(s): Jeffry M. Bauer, Harvey Frank, Anthony R. Paesano
Hearing Site: Detroit, MI
| | |
| 12-03878 | 07/28/2014 | Claimant(s): June Duffy, Leroy Duffy, Susan Creasey, William Creasey
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): LPL Financial LLC, Gerald Seibert
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Julius Z. Frager, Albert J. Haller, Stuart W. Smith
Hearing Site: St. Louis, MO
|  | Expungement |
| 13-02273 | 07/17/2014 | Claimant(s): Thomas Hake
Claimant Lawyers(s): Joan M Swartz
Respondent(s): Ethan Rush, Ronald Klimas, Securities Service Network.
Respondent Lawyers(s): J. Christopher Wehrle, Ronald T. Klimas, Ronald T. Klimas Chief Compliance
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO
| | |
| 12-00951 | 01/06/2014 | Claimant(s): Deborah Shishko, Robert Shishko, John Shishko Revocable Trust, Robert Shishko Trust
Claimant Lawyers(s): J. Christopher Wehrle, Marc L. Godino
Respondent(s): Elliott Moskowitz, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Robert J. Ruben, Blaine Smith, David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04022 | 02/28/2012 | Claimant(s): Andrew Vogelbach, Karl Vogelbach, Karl Heinrich Vogelbach MD MPP & Trust U, Karl HeinrichVogelback MD MNY Prchse PL
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Jens Spitta, Quincy Cass Associatesorporated
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s): David W. Dresnick, Kendall C. Reed, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 09-01900 | 02/02/2010 | Claimant(s): Elizabeth Roth
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): J.J.B. Hilliard, W.L. Lyons, Leonard Mcgehee
Respondent Lawyers(s): Tonya J. Austin
Arbitrator(s): M. Eileen Dorsey, Marilyn T. Selby, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $30,000 |
| 07-02093 | 05/20/2008 | Claimant(s): Carl Garrett
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Flagstone Securities
Respondent Lawyers(s): Douglas Y. Curran
Arbitrator(s): Phillip Barry Wise, Marvin L. Frazier, Brian T. Carter
Hearing Site: St. Louis, MO
| | |
