| 12-03878 | 07/28/2014 | Claimant(s): June Duffy, Leroy Duffy, Susan Creasey, William Creasey
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): LPL Financial LLC, Gerald Seibert
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Julius Z. Frager, Albert J. Haller, Stuart W. Smith
Hearing Site: St. Louis, MO
|  | Expungement |
| 11-01461 | 05/30/2013 | Claimant(s): Commercial National Bank of Texarkana
Claimant Lawyers(s): Kimberly A. Justice
Respondent(s): J.P. Morgan Securities, Robert Heinz, Bear Stearns & Co..
Respondent Lawyers(s): Lauri W. Sawyer, Saul C. Belz
Arbitrator(s): Julius Z. Frager, Patricia Best Vital, Elton W. Chartrand
Hearing Site: Little Rock, AR
| | Expungement |
| 11-01040 | 07/05/2012 | Claimant(s): James N. Vangilder Revocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Gerald Cohen, Julius Z. Frager, Marilyn T. Selby
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 |
| 08-00791 | 06/08/2009 | Claimant(s): Michael Grimes, Financial Solutions and Associates.
Claimant Lawyers(s): Steve W. Koslovsky
Respondent(s): Barrington Capital Management.
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Julius Z. Frager, Mark E. Kessinger, David B. Lacks
Hearing Site: St. Louis, MO
| | |
| 07-02217 | 01/16/2009 | Claimant(s): Albert Watkins, Nancy Watkins
Claimant Lawyers(s): Mark David Hunter
Respondent(s): Anthony Guerrerio, Wedgewood Partners.
Respondent Lawyers(s): Richard B. Walsh
Arbitrator(s): Julius Z. Frager, Robert J. Beck, Donna L. Pavlick
Hearing Site: St. Louis, MO
| | |
