| 17-00225 | 12/18/2017 | Claimant(s): Jon Springer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
| | |
| 14-00988 | 11/16/2017 | Claimant(s): Mutual Of Omaha Investor Services.
Claimant Lawyers(s): Patrick B. Griffin
Respondent(s): Kevin Pearce
Respondent Lawyers(s): Rodney K. Vincent
Arbitrator(s): James C. Morrow, William H. O'Donnell, Dennis Shrewsbury
Hearing Site: Omaha, NE
| | |
| 16-00751 | 10/27/2017 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Marc Kalter, Woodstock Financial Group.
Respondent Lawyers(s): Heidi E. VonderHeide, Yelena Rapoport
Arbitrator(s): Mark L Miller, Gerald J. Egermier, Troy J. Bird
Hearing Site: Omaha, NE
|  | Settlement |
| 16-02924 | 09/20/2017 | Claimant(s): Raymond Gibb, IRA FBO Raymond L Gibb Pershing LLC, Pershing Cust FBO Raymond L Gibb IRA
Claimant Lawyers(s): Patricia L. Vannoy
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Charles G. Michaels, Ken L. Andersen, Ryan Douglas Horner
Hearing Site: Omaha, NE
| | $0 |
| 16-01613 | 06/22/2017 | Claimant(s): Jan Larson, Tab Larson, Estate of Kari Lyn Larson
Claimant Lawyers(s): James B. Luers
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Steven Meyrich, Marilyn R. Lewis, John R. Loss
Hearing Site: Omaha, NE
| | $440,158 |
| 15-00510 | 04/26/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa K. Mayers
Respondent(s): James Pekelder, Joel Jacobs
Respondent Lawyers(s): Gail E. Boliver, Lisa K. Mayers
Arbitrator(s): Murray S. Levin, James S. Pittenger, Kristen Marie Blankley
Hearing Site: Omaha, NE
| | |
| 16-00351 | 07/19/2016 | Claimant(s): Gene White
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Barbara Desiderio, Brian Hagerman, Niaz Elmazi, Richard Bohack
Respondent Lawyers(s): Barbara Lucille Desiderio, Brian Joseph Hagerman, Niaz Elmazi, Richard Edward Bohack
Arbitrator(s): Arthur F. Dewsberry
Hearing Site: Omaha, NE
| | $50,600 |
| 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
| | |
| 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 |
| 14-00379 | 02/27/2015 | Claimant(s): Peter Stekr
Claimant Lawyers(s): Peter Morris Stekr
Respondent(s): UMB Financial Services.
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Jack D. Elmquist, Frank D. Connett, John P. Wright
Hearing Site: Omaha, NE
| | |
