| 14-00988 | 11/16/2017 | Claimant(s): Mutual Of Omaha Investor Services.
Claimant Lawyers(s): Patrick B. Griffin
Respondent(s): Kevin Pearce
Respondent Lawyers(s): Rodney K. Vincent
Arbitrator(s): James C. Morrow, William H. O'Donnell, Dennis Shrewsbury
Hearing Site: Omaha, NE
| | |
| 15-00074 | 06/16/2016 | Claimant(s): Mark Schroeder
Claimant Lawyers(s): Chad C. Beaver
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jeffrey Holloway, First Clearing, Sean Harman, Timothy Tadlock, Holloway and Harman Capital Management,
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan, Michael D. Fitzgerald, Dennis Shrewsbury
Hearing Site: Kansas City, MO
|  | $423,770 |
| 13-01957 | 04/18/2016 | Claimant(s): The Children's Mercy Hospital
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Murray S. Levin, Michael A. Kleinman, Dennis Shrewsbury
Hearing Site: Kansas City, MO
| | $0 |
| 12-03990 | 01/22/2014 | Claimant(s): Margean Cress
Claimant Lawyers(s): Andrew Schermerhorn
Respondent(s): Kelly Donaldson, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): James C. Morrow, Gerald Francis Lamberti, Dennis Shrewsbury
Hearing Site: Kansas City, MO
| | Expungement |
