| 13-01872 | 12/12/2014 | Claimant(s): Hereford Securities Management, S.A.
Claimant Lawyers(s): David H. Kalisek
Respondent(s): Juan Alejos, Charles Morgan Securities.
Respondent Lawyers(s): Benjamin Suess, Paul E. Taboada
Arbitrator(s): Murray S. Levin, Frank D. Connett, Richard L. Mitchell
Hearing Site: Omaha, NE
|  | $0 |
| 09-03429 | 06/08/2011 | Claimant(s): Edgar Hagerty, Joann Hagerty, EWH Investments, JDH Investments, Edgar W. Hagerty Trust, Joann Didik Hagerty Trust
Claimant Lawyers(s): James M. Bausch
Respondent(s): Kathryn Schubert, Merrill Lynch Pierce Fenner & Smith Inc., Ronald Lassek
Respondent Lawyers(s): Bryan Reyhani
Arbitrator(s): M. W. Gear, Richard L. Mitchell, Verne R. Gray
Hearing Site: Omaha, NE
| | $435,000 |
| 09-04884 | 10/14/2010 | Claimant(s): Chester Zoeller
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Richard Mitchell, Sterne, Agee & Leach.
Respondent Lawyers(s): Stephen L. Poer
Arbitrator(s): R. Van Young, Robert M. Bath, Stephen Ronald Crissey
Hearing Site: Louisville, KY
| | $0 |
| 09-02187 | 03/05/2010 | Claimant(s): Douglas Vander Weide
Claimant Lawyers(s): Michael A. Dee
Respondent(s): David Jesse, Richard Keeling, Robin Marshall
Respondent Lawyers(s): John D. Hintze
Arbitrator(s): Charles F. Custer, Richard L. Mitchell, Verne R. Gray
Hearing Site: Des Moines, IA
| | |
