| 19-03075 | 02/04/2022 | Claimant(s): Dustin Luckett
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): J.P. Morgan Securities, Todd Fannin
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): John R. Michael, David F. Barrett, Linda W. Hester
Hearing Site: Louisville, KY
| | |
| 20-00915 | 10/20/2020 | Claimant(s): Gregory Achten
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David F. Barrett
Hearing Site: Cincinnati, OH
| | |
| 18-00515 | 03/13/2020 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Matthew Beaver
Respondent Lawyers(s): Matthew Beaver
Arbitrator(s): Stephen Wayne Medlin, Stuart W. Smith, David F. Barrett
Hearing Site: St. Louis, MO
| | |
| 18-00145 | 08/07/2018 | Claimant(s): Ashley Katt
Claimant Lawyers(s): Robert A. Klingler
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell Ahnert
Arbitrator(s): David F. Barrett
Hearing Site: Cincinnati, OH
| | |
| 17-00626 | 10/25/2017 | Claimant(s): Kevin Wilson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): David F. Barrett
Hearing Site: Little Rock, AR
| | |
| 16-01819 | 09/22/2017 | Claimant(s): Elizabeth Benitone, Troy Benitone
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Janet P. Jakubowicz
Arbitrator(s): Janet M. Thompson, David F. Barrett, Kim L. Kirn
Hearing Site: St. Louis, MO
|  | $568,699 |
| 13-00640 | 11/06/2013 | Claimant(s): Theodore R. Davis Trust DTD 3/8/2007
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Stephen J. Fields
Arbitrator(s): Michael A. Rzewnicki, John R. Loss, David F. Barrett
Hearing Site: Kansas City, MO
| | $234,466 |
| 11-04627 | 01/23/2013 | Claimant(s): William Bud
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): Edward C. Lawrence, Thomas J. Ray, David F. Barrett
Hearing Site: St. Louis, MO
| | Expungement |
| 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 |
| 08-04956 | 02/01/2011 | Claimant(s): Cecil Wyatt, Nellie Wyatt
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Robert M. Brennan
Arbitrator(s): M. Eileen Dorsey, Lynne M. Gomez, David F. Barrett
Hearing Site: Birmingham, AL
| | $210,375 |
