| 20-00852 | 10/29/2021 | Claimant(s): Mark Burgess, Mitchell Burgess
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): James C. Morrow, Karen Roberts Washington, David W White
Hearing Site: Kansas City, MO
|  | Expungement |
| 19-02734 | 09/16/2021 | Claimant(s): Patrick Taylor
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Dennis Murphy, Jamaal Potter, James Webb, Cape Securities Inc.
Respondent Lawyers(s): Dennis James Murphy, Jamaal Nathan Potter, Judy A. Newcomb
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | $57,035 |
| 20-03003 | 07/14/2021 | Claimant(s): Christopher McGee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): Philip J. Glick
Hearing Site: Kansas City, MO
| | |
| 21-00092 | 07/12/2021 | Claimant(s): Ryan Hook
Claimant Lawyers(s): Jane L. Stafford
Respondent(s): Commerce Brokerage Services.
Respondent Lawyers(s): Douglas M. Weems
Arbitrator(s): M W Gear, Kelly T. Coughlin, Stephen Douglas Bonney
Hearing Site: Kansas City, MO
| | |
| 20-02130 | 05/07/2021 | Claimant(s): John Distefano
Claimant Lawyers(s): Jennifer Farrar
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Robert S. Baran
Hearing Site: Kansas City, MO
| | |
| 20-02420 | 05/04/2021 | Claimant(s): Tim Hakes
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): The O.N Equity Sales Company
Respondent Lawyers(s): Mark E. Elsener
Arbitrator(s): Brett Coonrod
Hearing Site: Kansas City, MO
| | |
| 20-02426 | 04/30/2021 | Claimant(s): Scott Colangelo
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): The O.N Equity Sales Company
Respondent Lawyers(s): Jennifer Rockel
Arbitrator(s): Bill Lamoreaux
Hearing Site: Kansas City, MO
| | |
| 20-03187 | 04/29/2021 | Claimant(s): Christopher Walker
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): C. Sumpter Logan
Hearing Site: Kansas City, MO
| | |
| 20-02396 | 02/26/2021 | Claimant(s): James Regier
Claimant Lawyers(s): Jon M. Stanfield
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | |
| 20-01779 | 02/23/2021 | Claimant(s): Kevin Piker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M Towns
Arbitrator(s): Maxel (Bud) B Silverberg
Hearing Site: Kansas City, MO
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