| 20-00939 | 02/18/2021 | Claimant(s): James Azeltine
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann McCague
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | |
| 20-01985 | 02/16/2021 | Claimant(s): Harry Appleby
Claimant Lawyers(s): Harry E. Appleby
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Joseph M. Rebein, Sherry L. Robinson, Karen Roberts Washington
Hearing Site: Kansas City, MO
|  | $0 |
| 19-02278 | 01/20/2021 | Claimant(s): Keith J. Lilek Declaration of Trust, Teresa Lilek Declaration of Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Patricia Joanne Branco, David A. Schuler, Lawrence R. Rute
Hearing Site: Kansas City, MO
| | Expungement |
| 20-00942 | 11/17/2020 | Claimant(s): Gregory Schaff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Clearing Services, Oppenheimer & Co..
Respondent Lawyers(s): Nicola A. Murphy, Nuviah Shirazi
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | |
| 20-01005 | 11/09/2020 | Claimant(s): Brad Lawing
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): C. Sumpter Logan
Hearing Site: Kansas City, MO
| | |
| 20-00054 | 10/20/2020 | Claimant(s): Gregory Schaff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): George K. Baum & Company
Respondent Lawyers(s): Jonathan E. Baum
Arbitrator(s): C. Sumpter Logan
Hearing Site: Kansas City, MO
| | |
| 20-00031 | 10/02/2020 | Claimant(s): Christopher Walker
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Clearing Services, UBS Financial Services Inc.
Respondent Lawyers(s): Nuviah Shirazi, Omar Perez
Arbitrator(s): Philip J. Glick
Hearing Site: Kansas City, MO
| | |
| 19-03694 | 09/14/2020 | Claimant(s): Paul Ewing
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Vestax Securities Corporation
Respondent Lawyers(s): Richard Dunstan
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Kansas City, MO
| | |
| 19-03693 | 08/31/2020 | Claimant(s): Paul Ewing
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Walnut Street Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael S. Matek
Hearing Site: Kansas City, MO
| | |
| 19-03671 | 06/25/2020 | Claimant(s): Thomas Saunders
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): George A. Croton
Arbitrator(s): David A. Schuler
Hearing Site: Kansas City, MO
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