| 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
| | |
| 16-00067 | 11/16/2017 | Claimant(s): Ryan Behm
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Steven Meyrich, David L. Erickson, William E Murray
Hearing Site: Denver, CO
| | |
| 13-02520 | 03/04/2015 | Claimant(s): Terry Hollar
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Michael Gerken, Stephen Molen, Thrivent Investment Management Inc.
Respondent Lawyers(s): Eric Martin
Arbitrator(s): C. Marcus Harris, James F. Major, David M. Finkel
Hearing Site: Charlotte, NC
| | |
| 12-02507 | 10/21/2013 | Claimant(s): Robert Cox
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Ameriprise Financial Services., Mitchell Black
Respondent Lawyers(s): Roger N. Walter
Arbitrator(s): Murray S. Levin, Walter N. Vernon, Henry R. Cox
Hearing Site: Kansas City, MO
|  | $776,424 |
| 11-00482 | 08/13/2012 | Claimant(s): Charlene Bryan
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patrick J. Whalen
Arbitrator(s): M. W. Gear, Bill J. Alexander, Donald H. Loudon
Hearing Site: Kansas City, MO
| | $50,000 |
| 10-05370 | 01/19/2012 | Claimant(s): Tim Haug
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Richard Ryan, VSR Financial Services.
Respondent Lawyers(s): Theodore C. Houdek
Arbitrator(s): Murray S. Levin, Barry D. Estell, Ronald G. Bruch
Hearing Site: Kansas City, MO
| | $119,260 |
| 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 |
| 10-01982 | 06/21/2011 | Claimant(s): Margaret Lyddon, The Margaret C. Lyddon Rev. Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Bankers & Investors Co.
Respondent Lawyers(s): Roger N. Walter
Arbitrator(s): Michael D. Fitzgerald, John W. Jones, Walter N. Vernon
Hearing Site: Kansas City, MO
| | $0 |
