| 19-01678 | 06/25/2020 | Claimant(s): Beverly D Gitelman Revoc. Living Trust
Claimant Lawyers(s): Laura Schrick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Paul L. Matecki, Joseph R Soraghan, David E. Crawford
Hearing Site: St. Louis, MO
|  | Expungement |
| 19-01362 | 04/01/2020 | Claimant(s): Ryan Tarjanyi
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Bankers Life Securities.
Respondent Lawyers(s): Steven K. Huffer
Arbitrator(s): Joseph R Soraghan
Hearing Site: Cincinnati, OH
| | |
| 19-00219 | 07/10/2019 | Claimant(s): Lynn Deane
Claimant Lawyers(s): Lynn Deane
Respondent(s): Nir Regev
Respondent Lawyers(s): Nir Regev
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | $600 |
| 18-04052 | 06/10/2019 | Claimant(s): Robert Curtis
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | |
| 18-03828 | 04/26/2019 | Claimant(s): Eileen Kanoski
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | |
| 17-02179 | 09/13/2018 | Claimant(s): Margaret Higginbotham, The Margaret C. Higginbotham Trust
Claimant Lawyers(s): David Meyer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Robert J. Scafuri, Joseph R. Soraghan, Sarah R. Cole
Hearing Site: Columbus, OH
| | Expungement |
| 15-02609 | 06/23/2017 | Claimant(s): Todd Clay
Claimant Lawyers(s): Jonathan LA Phillips
Respondent(s): Chapin, Davis
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Joseph R. Soraghan, Matthew Patrick McCauley, Robert Stewart Barney
Hearing Site: St. Louis, MO
| | |
| 14-00017 | 12/22/2016 | Claimant(s): Robert McCrary, Robert L. McCrary, IRA
Claimant Lawyers(s): Martin M. Green
Respondent(s): Stifel, Nicolaus & Co.., Neil Harrison, Roger Compton
Respondent Lawyers(s): James C. Browning, Jr., Neil R. Harrison
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Albert J. Haller
Hearing Site: St. Louis, MO
| | $25,884 |
| 15-00074 | 06/16/2016 | Claimant(s): Mark Schroeder
Claimant Lawyers(s): Chad C. Beaver
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jeffrey Holloway, First Clearing, Sean Harman, Timothy Tadlock, Holloway and Harman Capital Management,
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan, Michael D. Fitzgerald, Dennis Shrewsbury
Hearing Site: Kansas City, MO
| | $423,770 |
| 13-03375 | 12/29/2015 | Claimant(s): Leda Sander, Georgetown Mortgage Corp., Sandra E. Sander IRA, Georgetown Mortgage Corp Profit Sharing, Harry Sander Trust, Sandra E. Sander Rev. Trust
Claimant Lawyers(s): Allen P. Press
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael L. Lyons, Joseph R. Soraghan, M. Eileen Dorsey
Hearing Site: St. Louis, MO
| | $0 |
