| 17-02420 | 01/07/2020 | Claimant(s): Sandra Alford, Sandra C. Alford Revocable Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Philip J. Glick, Albert J. Haller, Joshua Eric Lubatkin
Hearing Site: St. Louis, MO
|  | $2,629,270 |
| 17-01786 | 09/26/2019 | Claimant(s): The Estate of Nancy Allan
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Seth M Erickson
Arbitrator(s): Terry F Peppard, Kevin J. Demet, William Joseph Caprathe
Hearing Site: Milwaukee, WI
| | $167,002 |
| 16-02863 | 05/17/2019 | Claimant(s): Mark E. Viator IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Raymond C. Kerr, David C. Redford, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
| 18-01092 | 11/20/2018 | Claimant(s): Linda Langille, Robinson Langille
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Royal Alliance Associates., Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Bradley A. Fishman, Peter J. McElligott
Arbitrator(s): Dean J. Dietrich, Clifford A. Threlkeld, Martin Joel Fassler
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 17-00474 | 08/22/2018 | Claimant(s): James Grimes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Trustmont Financial Group.
Respondent Lawyers(s): William T. Krzton
Arbitrator(s): Arthur J. Zelenak, Frank Brenner, Carol B. Robinson
Hearing Site: Tampa, FL
| | $1,046,100 |
| 17-00942 | 08/20/2018 | Claimant(s): David E. Vittori, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Theodore W. Wrobleski, Mark L Miller
Hearing Site: Chicago, IL
| | $0 |
| 17-00712 | 06/06/2018 | Claimant(s): Kirk Nelson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Murray S. Levin, Philip J. Glick, Mary C. Davis
Hearing Site: Omaha, NE
| | $216,490 |
| 16-01819 | 09/22/2017 | Claimant(s): Elizabeth Benitone, Troy Benitone
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Janet P. Jakubowicz
Arbitrator(s): Janet M. Thompson, David F. Barrett, Kim L. Kirn
Hearing Site: St. Louis, MO
| | $568,699 |
| 16-00644 | 08/08/2017 | Claimant(s): Bruce McKay, The McKay Family Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Dee Newell
Hearing Site: Boise, ID
| | Expungement |
| 12-04083 | 07/11/2017 | Claimant(s): Denise Hoffman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Gary Zwetchkenbaum, Gilford Securities Incorporated
Respondent Lawyers(s): David S. Richan, Eric J. Sussman
Arbitrator(s): Richard W. Vallario, Irwin Kahn, Anna Lascar
Hearing Site: New York, NY
| | $206,783 |
