| 23-01075 | 08/12/2024 | Claimant(s): Sally Gaddie
Claimant Lawyers(s): Jared A. Rose
Respondent(s): Christina Silvius, Juliann Smith, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Karen Roberts Washington, Del Wright, John Edward Jackson
Hearing Site: Kansas City, MO
|  | Expungement |
| 23-02858 | 06/14/2024 | Claimant(s): Amy Duncan
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Adam Michael Porter
Hearing Site: Denver, CO
| | |
| 23-02960 | 06/03/2024 | Claimant(s): Eric Duncan
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Michael F. Jordan
Hearing Site: Denver, CO
| | |
| 23-01198 | 09/13/2023 | Claimant(s): Suzanne Oney, Tod Oney
Claimant Lawyers(s): Tod Oney
Respondent(s): Randall Duggan, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
| | $600 |
| 20-04209 | 05/10/2021 | Claimant(s): Richard Lozano
Claimant Lawyers(s): Richard R. Lozano
Respondent(s): Edward Balmes, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Gregory G. Gocek
Hearing Site: St. Louis, MO
| | $2,050 |
| 17-01666 | 10/10/2018 | Claimant(s): J. Thomas Netzer
Claimant Lawyers(s): Joseph D. Sheppard
Respondent(s): Moloney Securities Asset Management, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Leonard Arthur Nelson, Lawrence R. Rute, Bryan E. Mouber
Hearing Site: Kansas City, MO
| | $300,000 |
| 13-02321 | 11/13/2014 | Claimant(s): Laurie Miranda
Claimant Lawyers(s): Scott Gelman
Respondent(s): Craig Maxey, Moloney Securities Co..
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Edward F. Siegel, J. Robert Brown, Elaine Frances Brown
Hearing Site: Denver, CO
| | $273,119 |
| 11-01938 | 12/18/2012 | Claimant(s): Mary O'Sullivan, Neil J. O'Sullivan Trust, Thomas E. O'Sullivan Rev liv Trust
Claimant Lawyers(s): Jonathan F. Andres
Respondent(s): Kathryn Winter, Moloney Securities Co..
Respondent Lawyers(s): Jeff Jamieson, Kenton E. Knickmeyer
Arbitrator(s): R. Phillip Reed, Jerry M. Deters, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $150,000 |
| 08-03024 | 05/15/2009 | Claimant(s): Catherine Manoni
Claimant Lawyers(s): Catherine L Manoni
Respondent(s): Michael Standley, Moloney Securities Co..
Respondent Lawyers(s): Kenton E. Knickmeyer
Arbitrator(s): Joseph R. Soraghan, Thomas J. Ray, Jesse David Hill
Hearing Site: St. Louis, MO
| | $8,450 |
| 06-04292 | 10/12/2007 | Claimant(s): Moloney Securities Co..
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): Jacqueline Mead, William Mead
Respondent Lawyers(s): Jacqueline M. Mead, William Ramey Mead
Arbitrator(s): David A. Fingerhut
Hearing Site: St. Louis, MO
| | |
