| 13-00781 | 09/20/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): John Lowe
Respondent Lawyers(s): John C. Lowe
Arbitrator(s): Arthur F. Dewsberry
Hearing Site: Kansas City, MO
| | |
| 13-00289 | 09/17/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): John Diederich
Respondent Lawyers(s): John G. Diederich
Arbitrator(s): Murray S. Levin
Hearing Site: Kansas City, MO
| | |
| 12-01026 | 06/18/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Patrick J. Whalen
Respondent(s): Kenneth Williams
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Thomas B. Phillips, M. W. Gear, Walter N. Vernon
Hearing Site: Kansas City, MO
| | |
| 12-01351 | 06/18/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Randall Silvey
Respondent Lawyers(s): Russell L. Powell
Arbitrator(s): James C. Morrow
Hearing Site: Kansas City, MO
| | |
| 12-03498 | 06/07/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Mark Wood
Respondent Lawyers(s): Mark Stephen Wood
Arbitrator(s): R. Phillip Reed
Hearing Site: Kansas City, MO
| | |
| 12-00980 | 03/20/2013 | Claimant(s): Regal Securities.
Claimant Lawyers(s): Nathan R. Howard
Respondent(s): John Cavanaugh
Respondent Lawyers(s): John Anthony Cavanaugh
Arbitrator(s): James A. Hayes
Hearing Site: Kansas City, MO
| | |
| 12-00987 | 03/05/2013 | Claimant(s): Edward Forman
Claimant Lawyers(s): Edward Phillip Forman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Mark S. Foster
Hearing Site: Kansas City, MO
|  | $0 |
| 12-02615 | 03/04/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Seth A. Miller
Respondent(s): Christopher Pierce
Respondent Lawyers(s): Christopher Edward Pierce
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
| | |
| 11-01912 | 01/30/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Casey
Respondent Lawyers(s): Scott R. Shewan
Arbitrator(s): James C. Morrow
Hearing Site: Kansas City, MO
| | |
| 10-05786 | 01/14/2013 | Claimant(s): Charles Heckert, Janice Heckert, Heckert Contruction Co.
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee
Arbitrator(s): Patricia M. Bottoms, John R. Loss, Michael Braude
Hearing Site: Kansas City, MO
| | Expungement |
