| 22-01012 | 12/13/2023 | Claimant(s): Gary Rabe
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Mark S. Foster, William B. Ross, Charles A. Palmer
Hearing Site: Des Moines, IA
|  | $4,529 |
| 23-00352 | 08/18/2023 | Claimant(s): Timothy Hawkins
Claimant Lawyers(s): Jon M. Stanfield
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Mark S. Foster, David Evans Rosedahl, M W Gear
Hearing Site: Des Moines, IA
| | |
| 22-00807 | 03/27/2023 | Claimant(s): Edward McCoy, Shirley McCoy
Claimant Lawyers(s): Edward A. McCoy
Respondent(s): Charles Schwab & Co.., TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Michael S. Matek, Mark S. Foster, Susan Baker Teson
Hearing Site: Kansas City, MO
| | $300 |
| 17-02855 | 05/30/2019 | Claimant(s): Donald L. and Beverly C. Hamill
Claimant Lawyers(s): Donald Hamill
Respondent(s): David Harris, Doris Burr, Gregory Shea, Harry Peters, Joseph Hooper, Justin Burr, Kevin Cline, Robert Burr, Russell Newton, Stephen Larkin, Blue Ridge Group., Source Capital Group.
Respondent Lawyers(s): Company President, David Webster Harris, David Harris, Doris R. Burr, Harry Peters, Michael A. Valenti, Russell William Newton, Stephen Carl Larkin, Travis Creed
Arbitrator(s): Michael S. Matek, Mark S. Foster, Michael D. Fitzgerald
Hearing Site: Omaha, NE
| | $0 |
| 17-00842 | 08/22/2018 | Claimant(s): Tafney Snowden, I.R.A., Tafney Snowden and William E. Coen
Claimant Lawyers(s): William E. Coen
Respondent(s): Bernard Breton, Brett Harrison, David Martin, Gerald Harvey, Paul Ewing, Cetera Advisors LLC
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Mark S. Foster, Leonard Arthur Nelson, Lynn Hirschfeld Brahin
Hearing Site: Kansas City, MO
| | Expungement |
| 16-03277 | 07/28/2017 | Claimant(s): Thomas Kirk
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, W. Preston Martin
Arbitrator(s): Mark S. Foster
Hearing Site: Wichita, KS
| | |
| 14-03206 | 10/28/2016 | Claimant(s): Paul Levy
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Mark S. Foster, Thomas B. Phillips, Michael D. Fitzgerald
Hearing Site: Kansas City, MO
| | $0 |
| 14-02417 | 12/04/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Paula Deitering
Respondent Lawyers(s): David Yudelson
Arbitrator(s): Mark S. Foster
Hearing Site: Omaha, NE
| | |
| 15-01087 | 09/17/2015 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Mark S. Foster
Hearing Site: Kansas City, MO
| | |
| 14-02133 | 08/04/2015 | Claimant(s): Deanna Braun, Richard Braun
Claimant Lawyers(s): Jonathan E Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Mark S. Foster, Larry R. Trussell, Michael D. Fitzgerald
Hearing Site: Omaha, NE
| | $43,999 |
