| 15-00656 | 12/21/2015 | Claimant(s): Dolores Ottenad, William Ottenad
Claimant Lawyers(s): William L. Ottenad
Respondent(s): Stifel, Nicolaus & Co.., Phillip Carapella
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
|  | $12,800 |
| 14-00346 | 02/26/2015 | Claimant(s): Davin Wenner
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | $0 |
| 14-00189 | 02/10/2015 | Claimant(s): Revocable Trust Agreement of RW&SH Herr
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | $94,500 |
| 11-02927 | 03/23/2012 | Claimant(s): Philip Paul
Claimant Lawyers(s): Philip Craig Paul
Respondent(s): Wachovia Securities Inc., Sam Macaluso
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | Expungement |
| 09-03580 | 08/10/2011 | Claimant(s): Kenneth C Thompson IRA, Kenneth C Thompson Living Trust
Claimant Lawyers(s): L Steven Goldblatt
Respondent(s): Neil Harrison
Respondent Lawyers(s): Neil R. Harrison
Arbitrator(s): Keith D. Patten, Joseph R. Soraghan, Raymond Przybylowski
Hearing Site: St. Louis, MO
| | $0 |
| 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 |
| 08-02586 | 04/22/2009 | Claimant(s): Christine Powers
Claimant Lawyers(s): Christine M. Powers
Respondent(s): Thomas Schwarz
Respondent Lawyers(s): Paula Burnett Moore
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | $0 |
