| 11-00958 | 12/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Chad Samuel
Respondent Lawyers(s): Chad H. Samuel
Arbitrator(s): Roland Pera, Arthur F. Dewsberry, David A. Nixon
Hearing Site: Kansas City, MO
| | |
| 11-03993 | 10/17/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Todd Hallquist
Respondent Lawyers(s): Gordon D. Gee
Arbitrator(s): Joseph D. Sheppard, Michael A. Rzewnicki, Michael A. Kleinman
Hearing Site: Kansas City, MO
| | |
| 11-01186 | 08/31/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Luetkemeyer
Respondent Lawyers(s): David Patrick Luetkemeyer
Arbitrator(s): Roland Pera, Arthur F. Dewsberry, Murray S. Levin
Hearing Site: Kansas City, MO
| | |
| 10-03498 | 08/23/2012 | Claimant(s): Glenna Wylie, Jack Wylie, Glenna Y. Wylie Trust U/A/D 5/2/91, Jack F. Wylie Trust U/A/D 5/2/91
Claimant Lawyers(s): Gordon D. Gee
Respondent(s): Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Michael D. Fitzgerald, Bruce Keplinger, Ronald G. Bruch
Hearing Site: Kansas City, MO
|  | $272,650 |
| 11-00482 | 08/13/2012 | Claimant(s): Charlene Bryan
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patrick J. Whalen
Arbitrator(s): M. W. Gear, Bill J. Alexander, Donald H. Loudon
Hearing Site: Kansas City, MO
| | $50,000 |
| 11-03456 | 05/31/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Scottie Price
Respondent Lawyers(s): Scottie Ray Price
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
| | |
| 10-05370 | 01/19/2012 | Claimant(s): Tim Haug
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Richard Ryan, VSR Financial Services.
Respondent Lawyers(s): Theodore C. Houdek
Arbitrator(s): Murray S. Levin, Barry D. Estell, Ronald G. Bruch
Hearing Site: Kansas City, MO
| | $119,260 |
| 10-03063 | 11/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Mark Wood
Respondent Lawyers(s): Mark S. Wood
Arbitrator(s): Frederick Michael Switzer
Hearing Site: Kansas City, MO
| | |
| 10-04374 | 11/22/2011 | Claimant(s): Grisel Wiley, Jerry Wiley, Grisel Wiley Irrevocable Life Ins. Trust, Jerry Wiley Irrevocable Life Ins Trust, The Grisel Wiley Living Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Sherry L. Robinson, John R. Loss, Michael J. Hunter
Hearing Site: Kansas City, MO
| | $0 |
| 09-06930 | 11/08/2011 | Claimant(s): Patsy Potter
Claimant Lawyers(s): John J. Miller
Respondent(s): Brent McCune, Sagepoint Financial., Randall Coble, Mutual Service Corporation
Respondent Lawyers(s): David J. Freniere, Greg Curley
Arbitrator(s): Lonnie L. Cunningham, M. W. Gear, Walter N. Vernon
Hearing Site: Kansas City, MO
| | $0 |
