| 20-00125 | 04/23/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): James McEnerney
Respondent Lawyers(s): James L. McEnerney
Arbitrator(s): Philip J. Glick
Hearing Site: Kansas City, MO
| | |
| 20-00118 | 04/03/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Miles D. Hart
Respondent(s): Calvin Kleinmann
Respondent Lawyers(s): Calvin Ray Kleinmann
Arbitrator(s): Susan L. Walker
Hearing Site: Kansas City, MO
| | |
| 19-01804 | 03/13/2020 | Claimant(s): Todd Gregory
Claimant Lawyers(s): Nathan Lamb
Respondent(s): D.H. Hill Securities, LLLP
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Susan L. Walker
Hearing Site: Kansas City, MO
| | |
| 19-01962 | 02/18/2020 | Claimant(s): Jahanguir Azodi
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc, Cetera Advisors LLC
Respondent Lawyers(s): Jeremy Carr, Shelley Davenport
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | |
| 19-01994 | 12/11/2019 | Claimant(s): Elizabeth DeZeeuw., Steven DeZeeuw
Claimant Lawyers(s): Steven DeZeeuw
Respondent(s): Ameriprise Financial Services., Mitchell Black
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Bruce Keplinger
Hearing Site: Kansas City, MO
|  | $450 |
| 18-04266 | 07/03/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Brian Williams
Respondent Lawyers(s): Brian David Williams
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | |
| 18-01186 | 01/30/2019 | Claimant(s): Donald Clark
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Philip J. Glick
Hearing Site: Kansas City, MO
| | |
| 18-00790 | 01/25/2019 | Claimant(s): David Garrison
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert L. Chisolm
Hearing Site: Kansas City, MO
| | |
| 18-00462 | 11/19/2018 | Claimant(s): Matthew Shull
Claimant Lawyers(s): Jason M. Kueser
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | |
| 17-01666 | 10/10/2018 | Claimant(s): J. Thomas Netzer
Claimant Lawyers(s): Joseph D. Sheppard
Respondent(s): Moloney Securities Asset Management, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Leonard Arthur Nelson, Lawrence R. Rute, Bryan E. Mouber
Hearing Site: Kansas City, MO
| | $300,000 |
