| 17-01184 | 05/25/2018 | Claimant(s): Agnes Harris, Donald Harris, Trustees of their Retirement Accounts, Trustees of Their Family Trust
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): LPL Financial LLC, Robert Mitchell
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Michael L. Lyons, Tracy L. Allen, Brian Clinton Underwood
Hearing Site: St. Louis, MO
|  | Expungement |
| 15-03092 | 12/09/2016 | Claimant(s): Revocable Trust of Ralph Day
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael L. Lyons, James P. O'Grady, Charles Orlove
Hearing Site: St. Louis, MO
| | Expungement |
| 14-02530 | 06/29/2015 | Claimant(s): Judith M. Leicht IRA, Judith M. Leicht Living Trust
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Marc Schneider, Tiaa-Cref Individual & Institutional Srv
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Michael L. Lyons, Frederick Michael Switzer, Alan A. Sachs
Hearing Site: St. Louis, MO
| | Expungement |
| 14-00346 | 02/26/2015 | Claimant(s): Davin Wenner
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | $0 |
| 14-00189 | 02/10/2015 | Claimant(s): Revocable Trust Agreement of RW&SH Herr
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | $94,500 |
| 13-03578 | 11/25/2014 | Claimant(s): Paul Zachritz
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Byron E. Francis
Arbitrator(s): Michael L. Lyons, Alan A. Sachs, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | $0 |
| 10-05530 | 04/17/2012 | Claimant(s): Patricia Sturgis, Revocable Grantor Trust of June M. Davis
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Paul M. Foster, Julius Z. Frager, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | Expungement |
| 10-05805 | 01/26/2012 | Claimant(s): David Nester, Nester and Constance, PC, Nester and Constance PC Defined Benefit
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Patrick A. Watts
Arbitrator(s): Leah A. Murray, Albert J. Haller, Janet M. Thompson
Hearing Site: St. Louis, MO
| | $0 |
| 09-02974 | 11/17/2010 | Claimant(s): Edward Heet and Barbara Heet
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Mark R. Lee, Joseph P. Keaveny, James M. Stern
Hearing Site: St. Louis, MO
| | Stipulated Award and Expungement |
| 09-00362 | 02/24/2010 | Claimant(s): Patricia A. Lambert IRA, Carl E. Lambert and Patricia A. Lambert
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Anthony J. Soukenik, James M. Stern, Heath O. Lauseng
Hearing Site: St. Louis, MO
| | $0 |
