| 08-02928 | 05/01/2009 | Claimant(s): Brad Kuhlmann
Claimant Lawyers(s): John J. Miller
Respondent(s): Kenneth Bonal, Robert Glynn, William Athas, Liberty Partners Financial Services
Respondent Lawyers(s): Mark G. Vaughan, Robert Stephen Glynn
Arbitrator(s): Donald B. Clark, Joseph M. Rebein, Gerald Francis Lamberti
Hearing Site: Kansas City, MO
|  | Stipulated Award and Expungement |
| 08-01574 | 03/20/2009 | Claimant(s): Patricia Turner
Claimant Lawyers(s): Jason M. Kueser
Respondent(s): Glenn Graepel, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): John E. Sundeen, Arthur F. Dewsberry, John R. Loss
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
| 08-00391 | 03/19/2009 | Claimant(s): Ralph MacNaughton
Claimant Lawyers(s): John J. Miller
Respondent(s): Dayton Ault, John Carlson, Capital Financial Services.
Respondent Lawyers(s): Jeffrey S. Jamieson, W. Perry Brandt
Arbitrator(s): M. W. Gear, Joseph M. Rebein, Dale C. Putman
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
| 07-03231 | 11/06/2008 | Claimant(s): Paul Varsalona
Claimant Lawyers(s): Bernard L. Balkin
Respondent(s): Lowell Listrom, Valdes & Moreno.
Respondent Lawyers(s): Marco Listrom
Arbitrator(s): Robert E. Eisler
Hearing Site: Kansas City, MO
| | $12,450 |
| 07-01322 | 10/30/2008 | Claimant(s): Jack Moreland
Claimant Lawyers(s): Jeffrey S. Kruske
Respondent(s): Perkins, Smart and Boyd.
Respondent Lawyers(s): Edward A. McConwell
Arbitrator(s): Melford V. McCormick, Donald B. Clark, James R. Shetlar
Hearing Site: Kansas City, MO
| | |
| 07-02704 | 09/03/2008 | Claimant(s): Christy Routh, Stephen Routh, Tetons Inc. Def. Benefit Pension Plan
Claimant Lawyers(s): John J. Miller
Respondent(s): Frank Barber, ING Financial Partners., Locust Street Securities.
Respondent Lawyers(s): Jesse Linebaugh, Ross A. Anderson
Arbitrator(s): Michael D. Fitzgerald, Michael Braude
Hearing Site: Kansas City, MO
| | $168,300 |
| 07-01815 | 04/28/2008 | Claimant(s): Larry Finkermeier
Claimant Lawyers(s): Jeffrey Kruske
Respondent(s): New England Securities
Respondent Lawyers(s): Peter J. Flanagan
Arbitrator(s): Donald B. Clark
Hearing Site: Kansas City, MO
| | $35,274 |
| 07-01366 | 11/28/2007 | Claimant(s): Michael Smith
Claimant Lawyers(s): Michael J. Smith
Respondent(s): A.G. Edwards & Sons., Wayne Watson
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): James A. Hayes
Hearing Site: Kansas City, MO
| | $75 |
| 06-01350 | 11/27/2007 | Claimant(s): Barbara Kesterson
Claimant Lawyers(s): John L. Hampton
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Kathleen Dedenbach
Arbitrator(s): David A. Nixon, James A. Hayes, Michael A. Kleinman
Hearing Site: Kansas City, MO
| | |
| 06-04859 | 11/07/2007 | Claimant(s): Raul Salmon
Claimant Lawyers(s): Raul Dennis Salmon
Respondent(s): Matthew Nelson, O.N. Equity Sales Company
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Stephen D. Kort
Hearing Site: Kansas City, MO
| | $0 |
