| 14-03506 | 06/27/2017 | Claimant(s): Barbara Dean
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Leah A. Murray, Michael L. Lyons, A.J. Seier
Hearing Site: St. Louis, MO
|  | $0 |
| 14-02142 | 02/13/2015 | Claimant(s): Stephen Jackson
Claimant Lawyers(s): Stephen P. Jackson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Leah A. Murray
Hearing Site: Kansas City, MO
| | $0 |
| 12-02024 | 06/24/2014 | Claimant(s): Richard Estes
Claimant Lawyers(s): David B. Helms
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): Leah A. Murray, Gerald Cohen, Keith E. Mattern
Hearing Site: St. Louis, MO
| | $231,900 |
| 12-01997 | 10/07/2013 | Claimant(s): Matthew Plymell
Claimant Lawyers(s): Mary E. Hodges
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Gardiner B. Davis
Arbitrator(s): Leah A. Murray, Stuart D. Summers, David Brian Cohen
Hearing Site: St. Louis, MO
| | |
| 10-01519 | 10/30/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Erik Littlejohn
Respondent Lawyers(s): Cynthia R. Levin Moulton
Arbitrator(s): Leah A. Murray, R. Lee Britton Jr., Ross D. Friend
Hearing Site: Houston, TX
| | |
| 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 |
| 10-02108 | 10/28/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Michael Shaw
Respondent Lawyers(s): Michael Shaw
Arbitrator(s): Leah A. Murray
Hearing Site: Dallas, TX
| | |
| 09-04748 | 08/27/2010 | Claimant(s): James Riley
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Leah A. Murray
Hearing Site: Louisville, KY
| | |
| 09-01724 | 05/24/2010 | Claimant(s): Clyde Byram, Meleena Byram
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): Julie Rosenthal, William Rosenthal, Rosenthal Retirement Planning LP
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Leah A. Murray, Robert W. Dempsey, Michael William Petty
Hearing Site: St. Louis, MO
| | $52,600 |
| 08-00693 | 10/20/2009 | Claimant(s): Tara Gutierrez-Maddi
Claimant Lawyers(s): Kirk D. Holman
Respondent(s): Brian Wall, A.G. Edwards & Sons.
Respondent Lawyers(s): Christi Hilker Vaglio, Jeffrey Hanslick
Arbitrator(s): Leah A. Murray, Michael D. Fitzgerald, Gerald Francis Lamberti
Hearing Site: Kansas City, MO
| | |
