| 10-00417 | 10/24/2011 | Claimant(s): John Wesolak, Rhonda Wesolak
Claimant Lawyers(s): Rhonda Wesloak
Respondent(s): Anthony Salino, Lynn Schultz, Ron Ison, Mercer Capital LTD
Respondent Lawyers(s): Anthonly J. Salino, Lynn G. Schultz, Ron J. Ison
Arbitrator(s): Joseph E. Santaularia, Michael D. Fitzgerald, Robert A. Steitz
Hearing Site: Kansas City, MO
|  | $225,000 |
| 09-05301 | 08/05/2011 | Claimant(s): Darlene Hill, Darlene B. Hill, Trustee of the
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Wachovia Securities, Thomas Gresham
Respondent Lawyers(s): Patrick J. Whalen
Arbitrator(s): Charles H. Lewis, James A. Hayes, Michelle S. Minor
Hearing Site: Kansas City, MO
| | $260,000 |
| 10-02903 | 08/04/2011 | Claimant(s): Kevin Swallow
Claimant Lawyers(s): Barry D. Estell
Respondent(s): Timothy Collins, Clarus Capital Partners, Interactive Brokers LLC
Respondent Lawyers(s): David L. Marcus, John J. Nielands
Arbitrator(s): Michael D. Fitzgerald
Hearing Site: Kansas City, MO
| | $0 |
| 11-00233 | 06/29/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Greggory Vinson
Respondent Lawyers(s): Greggory Allen Vinson
Arbitrator(s): David B. Lacks
Hearing Site: Kansas City, MO
| | |
| 10-01982 | 06/21/2011 | Claimant(s): Margaret Lyddon, The Margaret C. Lyddon Rev. Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Bankers & Investors Co.
Respondent Lawyers(s): Roger N. Walter
Arbitrator(s): Michael D. Fitzgerald, John W. Jones, Walter N. Vernon
Hearing Site: Kansas City, MO
| | $0 |
| 10-04675 | 06/13/2011 | Claimant(s): Larry Addams
Claimant Lawyers(s): Larry Wayne Addams
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert G. Scott
Hearing Site: Kansas City, MO
| | |
| 09-06505 | 06/09/2011 | Claimant(s): Dawn Fogel, Patricia Bunch, The Dawn Deramus Fogel Trust, The Patricia Deramus Bunch Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): J. Matheis, Berthel, Fisher & Co. Financial Serv
Respondent Lawyers(s): Jeffrey J. Brinker
Arbitrator(s): Michael D. Fitzgerald, Joseph M. Rebein, Sherry L. Robinson
Hearing Site: Kansas City, MO
| | $0 |
| 09-00941 | 11/08/2010 | Claimant(s): Douglas Hemke
Claimant Lawyers(s): John J. Miller
Respondent(s): Northland Securities.
Respondent Lawyers(s): Jeffrey D. Hanslick
Arbitrator(s): Mark S. Foster, Bruce Keplinger, Michael Braude
Hearing Site: Kansas City, MO
| | $180,000 |
| 09-00312 | 08/19/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Keith Jackson
Respondent Lawyers(s): Keith C. Jackson
Arbitrator(s): Stephen G. Sneeringer
Hearing Site: Kansas City, MO
| | |
| 09-03272 | 08/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jaymee Kahn
Respondent(s): John Pemberton
Respondent Lawyers(s): John Pemberton
Arbitrator(s): Thomas B. Phillips, Joseph M. Rebein
Hearing Site: Kansas City, MO
| | |
