| 13-01533 | 05/08/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Michael Middleton
Respondent Lawyers(s): John J. Miller
Arbitrator(s): Thomas J. Ray, Sandra K. Hummel, James A. Hayes
Hearing Site: Kansas City, MO
| | |
| 12-00980 | 03/20/2013 | Claimant(s): Regal Securities.
Claimant Lawyers(s): Nathan R. Howard
Respondent(s): John Cavanaugh
Respondent Lawyers(s): John Anthony Cavanaugh
Arbitrator(s): James A. Hayes
Hearing Site: Kansas City, MO
| | |
| 11-01017 | 06/25/2012 | Claimant(s): 4R Partnership, by Jon Roberts, Partner, C. Marvin Trust, Trustee
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): David Schrager, Woodstock Financial Group.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): James E. Michaels, James A. Hayes, Ken L. Andersen
Hearing Site: Omaha, NE
|  | $75,000 |
| 10-05785 | 09/29/2011 | Claimant(s): Orval Beckmon
Claimant Lawyers(s): Barry D. Estell
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James A. Hayes, Wilburta Ann Willey, John James Rubin
Hearing Site: Wichita, KS
| | $0 |
| 09-05301 | 08/05/2011 | Claimant(s): Darlene Hill, Darlene B. Hill, Trustee of the
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Wachovia Securities, Thomas Gresham
Respondent Lawyers(s): Patrick J. Whalen
Arbitrator(s): Charles H. Lewis, James A. Hayes, Michelle S. Minor
Hearing Site: Kansas City, MO
| | $260,000 |
| 10-03436 | 06/15/2011 | Claimant(s): Barbara Vavrina, Janice Vavrina, Randall Vavrina, Randall E. Vavrina Trust Account
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): James A. Hayes, Bryan L. Johnson, Rebecca Sue Abell-Brown
Hearing Site: Omaha, NE
| | $0 |
| 09-06691 | 08/10/2010 | Claimant(s): Michael Antes
Claimant Lawyers(s): J. L. Spray
Respondent(s): Paula Turner
Respondent Lawyers(s): Paula Jean Turner
Arbitrator(s): Will B. Tschudy, M. W. Gear, James A. Hayes
Hearing Site: Omaha, NE
| | $4,500,000 |
| 08-03702 | 05/12/2010 | Claimant(s): Garry Hodgin
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Michael Segal, Thomas Oneill, Yousuf Saljooki, Whitaker Securities LLC
Respondent Lawyers(s): Scott D. Stechman, Yousuf Saljooki
Arbitrator(s): Jeffrey M. Bain, Bruce C. Young, James A. Hayes
Hearing Site: Omaha, NE
| | Stipulated Award and Expungement |
| 09-00942 | 07/29/2009 | Claimant(s): Patricia Kubitzki
Claimant Lawyers(s): Patricia A. Kubitzki
Respondent(s): New England Securities, Timothy Mcdermott
Respondent Lawyers(s): B. John Pendleton, Christina Schmid
Arbitrator(s): James A. Hayes
Hearing Site: Kansas City, MO
| | $7,836 |
| 08-02808 | 03/27/2009 | Claimant(s): Est. of Margaret Oswald by Stan Oswald
Claimant Lawyers(s): Stan Cohen
Respondent(s): Edward Jones
Respondent Lawyers(s): Kimber L. Monroe
Arbitrator(s): James A. Hayes
Hearing Site: Omaha, NE
| | $5,648 |
