| 14-01111 | 07/01/2016 | Claimant(s): Joyce Sullivan
Claimant Lawyers(s): Pamela R. Jones
Respondent(s): John King
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Alan A. Sachs
Hearing Site: Little Rock, AR
|  | Expungement |
| 14-03867 | 10/22/2015 | Claimant(s): Donna Bond, Mel Bond
Claimant Lawyers(s): D. Daxton White
Respondent(s): Berthel, Fisher & Company Financial
Respondent Lawyers(s): Debra Weiss
Arbitrator(s): Jack D. Olson, Alan A. Sachs, Ollie Sam Ackley
Hearing Site: St. Louis, MO
| | $0 |
| 14-02530 | 06/29/2015 | Claimant(s): Judith M. Leicht IRA, Judith M. Leicht Living Trust
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Marc Schneider, Tiaa-Cref Individual & Institutional Srv
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Michael L. Lyons, Frederick Michael Switzer, Alan A. Sachs
Hearing Site: St. Louis, MO
| | Expungement |
| 13-03578 | 11/25/2014 | Claimant(s): Paul Zachritz
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Byron E. Francis
Arbitrator(s): Michael L. Lyons, Alan A. Sachs, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | $0 |
| 12-00766 | 07/18/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin J. Smith
Respondent(s): Matthew Kallman
Respondent Lawyers(s): David R. Bohm
Arbitrator(s): Michael S. Hill, James M. Stern, Alan A. Sachs
Hearing Site: St. Louis, MO
| | |
| 10-04359 | 06/13/2012 | Claimant(s): High Ridge Fire Protection District
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): LPL Financial LLC, Richard Glenn
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Alan A. Sachs
Hearing Site: St. Louis, MO
| | Expungement |
| 11-03902 | 03/07/2012 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William M. Schmitt
Respondent(s): Keith Freeman
Respondent Lawyers(s): Keith H. Freeman
Arbitrator(s): Alan A. Sachs
Hearing Site: Little Rock, AR
| | |
| 10-01365 | 04/06/2011 | Claimant(s): Melba Fredericks
Claimant Lawyers(s): Francis X. Duda,
Respondent(s): Bradford Sharpe, Uvest Financial Services Group., The Bank of Edwardsville
Respondent Lawyers(s): John A. Bruegger, Matthew V. Bartle
Arbitrator(s): Alan A. Sachs, Richard Lawrence Gowan, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | |
| 09-05955 | 04/01/2011 | Claimant(s): Cathy Winston, John Winston
Claimant Lawyers(s): W. Christopher McDonough
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): M. Jane Matoesian
Arbitrator(s): Anthony J. Soukenik, Alan A. Sachs, Richard H. Kuhlman
Hearing Site: St. Louis, MO
| | Expungement |
| 08-00525 | 11/06/2008 | Claimant(s): Josef Westkamp
Claimant Lawyers(s): Werner A. Meier
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): David B. Helms
Arbitrator(s): R. Phillip Reed, Dennis Jay Capriglione, Alan A. Sachs
Hearing Site: St. Louis, MO
| | Dismissed by Rule 12206 |
