| 17-00842 | 08/22/2018 | Claimant(s): Tafney Snowden, I.R.A., Tafney Snowden and William E. Coen
Claimant Lawyers(s): William E. Coen
Respondent(s): Bernard Breton, Brett Harrison, David Martin, Gerald Harvey, Paul Ewing, Cetera Advisors LLC
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Mark S. Foster, Leonard Arthur Nelson, Lynn Hirschfeld Brahin
Hearing Site: Kansas City, MO
|  | Expungement |
| 17-01750 | 07/27/2018 | Claimant(s): Jason Smitka
Claimant Lawyers(s): Jerry D. Rank
Respondent(s): Mark Roberts, Michael Tuma, Affinity Asset Management, Client One Securities LLC
Respondent Lawyers(s): John Jackson Miller, Roger N. Walter
Arbitrator(s): Lonnie L. Cunningham, Susan L. Walker, Steven Joseph Streen
Hearing Site: Kansas City, MO
| | |
| 17-03205 | 07/19/2018 | Claimant(s): David Garrison
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Andrea Shafer
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Kansas City, MO
| | |
| 17-03169 | 07/17/2018 | Claimant(s): Richard Homuth
Claimant Lawyers(s): Eric Litow
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Kansas City, MO
| | |
| 17-02257 | 06/12/2018 | Claimant(s): Jeffrey Ostrander
Claimant Lawyers(s): Owen Harnett
Respondent(s): SII Investments.
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): M. W. Gear
Hearing Site: Kansas City, MO
| | |
| 17-02993 | 05/22/2018 | Claimant(s): Richard Homuth
Claimant Lawyers(s): Eric Litow
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | |
| 15-00872 | 05/09/2018 | Claimant(s): David Hug
Claimant Lawyers(s): David Hug
Respondent(s): Brent Porges, Richard Crockett, Zachary Bader, Craig Scott Capital
Respondent Lawyers(s): Brent M. Porges, Brent Porges, Richard H. Crockett, Robert M. Bursky
Arbitrator(s): Murray S. Levin, Julius Z. Frager, Henry R. Cox
Hearing Site: Kansas City, MO
| | $0 |
| 15-01415 | 04/25/2018 | Claimant(s): Richard Long
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): John Telfer, Stephen Grivas
Arbitrator(s): Gregory G. Gocek
Hearing Site: Kansas City, MO
| | $49,223 |
| 17-01788 | 03/26/2018 | Claimant(s): Alliance Affiliated Equities Corporation
Claimant Lawyers(s): Jeffery Gibbs
Respondent(s): Louis Kittlaus
Respondent Lawyers(s): Louis Karl Kittlaus
Arbitrator(s): Mark L. Williams
Hearing Site: Kansas City, MO
| | |
| 16-03532 | 01/26/2018 | Claimant(s): Renee Fields
Claimant Lawyers(s): John J. Miller
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Michael D. Fitzgerald, Philip J. Glick, Edward J. Lynch
Hearing Site: Kansas City, MO
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