| 21-01025 | 08/09/2021 | Claimant(s): James Garner
Claimant Lawyers(s): Bryan Ward
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Paul M. Foster, Maryanne M. Esser, Allan R. Lazor
Hearing Site: Little Rock, AR
| | |
| 10-05530 | 04/17/2012 | Claimant(s): Patricia Sturgis, Revocable Grantor Trust of June M. Davis
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Paul M. Foster, Julius Z. Frager, Sheldon Weinhaus
Hearing Site: St. Louis, MO
|  | Expungement |
| 11-03996 | 02/06/2012 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Richard H. Kuhlman
Respondent(s): Bruce Barnhart, Daun Braswell, Keegan Baygents
Respondent Lawyers(s): Jonathan F. Andres
Arbitrator(s): Paul M. Foster, Michael L. Lyons, Keith E. Mattern
Hearing Site: St. Louis, MO
| | |
| 08-00403 | 03/20/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jon Armstrong
Respondent Lawyers(s): Jon D. Armstrong
Arbitrator(s): Douglas E. DeTata, Paul M. Foster, John Edward Bersin
Hearing Site: San Francisco, CA
| | |
