| 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 |
| 09-06505 | 06/09/2011 | Claimant(s): Dawn Fogel, Patricia Bunch, The Dawn Deramus Fogel Trust, The Patricia Deramus Bunch Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): J. Matheis, Berthel, Fisher & Co. Financial Serv
Respondent Lawyers(s): Jeffrey J. Brinker
Arbitrator(s): Michael D. Fitzgerald, Joseph M. Rebein, Sherry L. Robinson
Hearing Site: Kansas City, MO
| | $0 |
| 09-03272 | 08/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jaymee Kahn
Respondent(s): John Pemberton
Respondent Lawyers(s): John Pemberton
Arbitrator(s): Thomas B. Phillips, Joseph M. Rebein
Hearing Site: Kansas City, MO
| | |
| 09-02518 | 05/28/2010 | Claimant(s): Elizabeth Austin, Elizabeth O. Austin Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): John D. Perry
Arbitrator(s): Murray S. Levin, Joseph M. Rebein, Michael A. Kleinman
Hearing Site: Kansas City, MO
| | $0 |
| 08-02928 | 05/01/2009 | Claimant(s): Brad Kuhlmann
Claimant Lawyers(s): John J. Miller
Respondent(s): Kenneth Bonal, Robert Glynn, William Athas, Liberty Partners Financial Services
Respondent Lawyers(s): Mark G. Vaughan, Robert Stephen Glynn
Arbitrator(s): Donald B. Clark, Joseph M. Rebein, Gerald Francis Lamberti
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
| 08-00391 | 03/19/2009 | Claimant(s): Ralph MacNaughton
Claimant Lawyers(s): John J. Miller
Respondent(s): Dayton Ault, John Carlson, Capital Financial Services.
Respondent Lawyers(s): Jeffrey S. Jamieson, W. Perry Brandt
Arbitrator(s): M. W. Gear, Joseph M. Rebein, Dale C. Putman
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
