20-00954 | 03/31/2022 | Claimant(s): Janet M. Wittmer, Ronald E. Wittmer Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Bruce Guarino, Daniel Murray, Douglas Guarino, Jeff Snyder, Rockwell Global Capital LLC Respondent Lawyers(s): Daniel Robert Murray, Douglas Joseph Guarino, Jeff David Snyder, Robert M. Bursky Arbitrator(s): Steven H. Vogel, Jacqueline Stanley Lustig, Stuart W. Smith Hearing Site: Chicago, IL
| | $0 |
21-00021 | 01/06/2022 | Claimant(s): Dierdre Hallick, Mark Hallick Claimant Lawyers(s): Jason J. Kane Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities. Respondent Lawyers(s): Justin Sacca, Sean T. Needham Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
18-00515 | 03/13/2020 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Matthew Beaver Respondent Lawyers(s): Matthew Beaver Arbitrator(s): Stephen Wayne Medlin, Stuart W. Smith, David F. Barrett Hearing Site: St. Louis, MO
| | |
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 |
08-04613 | 11/19/2009 | Claimant(s): Clifford N. Wade and Margarita D. Wade Claimant Lawyers(s): James A. Dunlap Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): John W. Mitchell Arbitrator(s): James R. Augustine, R. Phillip Reed, Stuart W. Smith Hearing Site: Birmingham, AL
| | $370,000 |
07-02976 | 09/15/2008 | Claimant(s): Mary Sammelman Claimant Lawyers(s): Steven Koslovsky Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Carrie J. Bechtold Arbitrator(s): Michael L. Lyons, Sean Patrick Abernathy, Stuart W. Smith Hearing Site: St. Louis, MO
| | $0 |