| 19-00256 | 08/23/2019 | Claimant(s): Chad Andrews
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Barry Goldman
Hearing Site: Des Moines, IA
| | |
| 18-02536 | 08/12/2019 | Claimant(s): Joan Mayes
Claimant Lawyers(s): Ralph W. Heninger
Respondent(s): LPL Financial LLC, Jeff Newburn
Respondent Lawyers(s): Brian Harlan, Dochtor Kennedy
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
|  | Expungement |
| 17-00106 | 07/23/2019 | Claimant(s): Woebbeking Enterprises, Ltd.
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Antonio Costanzo
Respondent Lawyers(s): Antonio Costanzo
Arbitrator(s): Tracy L. Allen
Hearing Site: Des Moines, IA
| | $84,475 |
| 16-01499 | 05/01/2019 | Claimant(s): Bruce Benna
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Michael Lavolpe
Respondent Lawyers(s): Michael Scott Lavolpe
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Des Moines, IA
| | $63,496 |
| 18-01007 | 04/29/2019 | Claimant(s): Carpenter Law Firm Defined Benefit Plan
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Morgan Stanley & Co., Michael Canney
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Lawrence R. Rute, Gerald W. Hepp, Brett Coonrod
Hearing Site: Des Moines, IA
| | $464,813 |
| 18-02971 | 03/27/2019 | Claimant(s): Arthur Dinkin
Claimant Lawyers(s): Arthur Lawrence Dinkin
Respondent(s): Lisa Smith, Robert Sherwood, Thomas Sherzan, Broker Dealer Financial Services Corp.
Respondent Lawyers(s): Lisa Marie Smith, Michael Sherzan, Robert Donald Sherwood, Thomas Edward Sherzan
Arbitrator(s): Michael J. Meeusen
Hearing Site: Des Moines, IA
| | |
| 18-00197 | 02/28/2019 | Claimant(s): Linda Cook
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Des Moines, IA
| | |
| 17-00502 | 01/31/2019 | Claimant(s): Michael Zeran
Claimant Lawyers(s): Israel Klein
Respondent(s): Bancwest Investment Services.
Respondent Lawyers(s): Marko Mrkonich
Arbitrator(s): Avery B. Goodman, Danielle L. Anderson, Alain Frecon
Hearing Site: Des Moines, IA
| | |
| 17-01870 | 10/25/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Randyl Taber
Respondent Lawyers(s): Gail Boliver
Arbitrator(s): Robert J. Scafuri, Mark A. Frankel, Robert D Lawson
Hearing Site: Des Moines, IA
| | |
| 17-03365 | 08/31/2018 | Claimant(s): William Elson
Claimant Lawyers(s): Michael Bessette
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): M. W. Gear
Hearing Site: Des Moines, IA
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