| 13-02272 | 10/03/2014 | Claimant(s): Keith Clay
Claimant Lawyers(s): Reggie Copeland
Respondent(s): Edward Jones
Respondent Lawyers(s): Trish Martin
Arbitrator(s): Walter N. Vernon, Robert J. Bohle, Harold E. MacFarland
Hearing Site: St. Louis, MO
| | |
| 10-05820 | 04/27/2012 | Claimant(s): Surendra Gupta
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Frederick Michael Switzer, Robert J. Bohle, David F. Barrett
Hearing Site: St. Louis, MO
|  | Expungement |
| 09-07161 | 03/31/2011 | Claimant(s): Mary Brandin, Mary Elliott Brandin Trust
Claimant Lawyers(s): John A. Klobasa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Marilyn T. Selby, Robert J. Bohle, David B. Lacks
Hearing Site: St. Louis, MO
| | $470,500 |
| 07-01557 | 03/19/2009 | Claimant(s): Betty Zahn, Clarence Koester, Gerard Timothy, Harold Zahn, Ruby Timothy, Deceased, IRA, Betty Zahn IRA, Darlene Brown IRA
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Wachovia Securities, Paula Turner, Capital Growth Financial
Respondent Lawyers(s): Brian J. Schuster, Michael Jacobs, Paula J. Turner, Todd Ratner
Arbitrator(s): Kimberly Renee McBride, Robert J. Bohle, David B. Lacks
Hearing Site: Omaha, NE
| | $177,700 |
