| 12-02507 | 10/21/2013 | Claimant(s): Robert Cox
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Ameriprise Financial Services., Mitchell Black
Respondent Lawyers(s): Roger N. Walter
Arbitrator(s): Murray S. Levin, Walter N. Vernon, Henry R. Cox
Hearing Site: Kansas City, MO
|  | $776,424 |
| 11-04236 | 12/28/2011 | Claimant(s): David McAllister, McAllister Family Trust A, McAllister Family Trust B
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Anthony Salino, Lynn Schultz, Mercer Capital, Ltd.
Respondent Lawyers(s): Anthony John Salino, Company President, Lynn Gordon Schultz
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
| 09-07108 | 09/08/2011 | Claimant(s): Todd Simon
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Bruce Keplinger, Thomas J. Pleiss, James Edward Nash
Hearing Site: Omaha, NE
| | $290,625 |
| 09-02855 | 07/21/2010 | Claimant(s): John Lozes, Nader Nakib, Timothy Sturge
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Mark S. Foster, Joseph D. Sheppard, Michael J. Hunter
Hearing Site: Kansas City, MO
| | $395,000 |
