| 08-02072 | 04/25/2013 | Claimant(s): Warner Group.
Claimant Lawyers(s): Barry K. Lake
Respondent(s): Citigroup Global Markets., John Spies
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Jeffrey M. Bain, Donald F. Shiffermiller, Albert Bernard Kerkhove
Hearing Site: Omaha, NE
| | |
| 12-01305 | 02/07/2013 | Claimant(s): Brett Wilson, Brian Smoot, Clifford Cashman, Darrin Santos, David Gatlin, Dean Evans, Ernest Hathaway, Gary Barker, Greg Coenen, Howard Jeppson, John Plaza, Kevin Korhorn, Lisa Dickholtz, Marty Mitchell, Michael Clark, Michele Young, Robert Greenamyer, Scotty Schoettlin, Stephen Fortner, Steven Fenyves, et al
Claimant Lawyers(s): Bryan M. Ward
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Frank D. Connett
Hearing Site: Omaha, NE
| | |
| 11-04397 | 11/20/2012 | Claimant(s): Heidi S. Vescio Living Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Scott Cavey
Respondent Lawyers(s): J. Scott Paul
Arbitrator(s): George A. Abbott
Hearing Site: Omaha, NE
|  | $0 |
| 11-02224 | 10/05/2012 | Claimant(s): Robert Bennie
Claimant Lawyers(s): Christopher B. Trowbridge
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Alison M. Gutierrez
Arbitrator(s): Larry R. Trussell, Steven C. Despotovich, James E. Michaels
Hearing Site: Omaha, NE
| | |
| 11-04377 | 08/27/2012 | Claimant(s): Judith Myers
Claimant Lawyers(s): Judith A. Myers
Respondent(s): Wells Fargo Advisors, Susan Robak
Respondent Lawyers(s): Rhonda A. Wilson
Arbitrator(s): George A. Abbott
Hearing Site: Omaha, NE
| | $163 |
| 11-01017 | 06/25/2012 | Claimant(s): 4R Partnership, by Jon Roberts, Partner, C. Marvin Trust, Trustee
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): David Schrager, Woodstock Financial Group.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): James E. Michaels, James A. Hayes, Ken L. Andersen
Hearing Site: Omaha, NE
| | $75,000 |
| 10-00736 | 01/06/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Kelly Hosek
Respondent Lawyers(s): Michael F. Marlow
Arbitrator(s): David A. Youngerman, Hugh J. Perry, Hollie M. Mason
Hearing Site: Omaha, NE
| | |
| 11-02474 | 11/09/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Terrence Devlin
Respondent Lawyers(s): Terrence Timothy Devlin
Arbitrator(s): Richard A. Knudsen
Hearing Site: Omaha, NE
| | |
| 11-00912 | 10/17/2011 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Ronald Kambic
Respondent Lawyers(s): Ronald John Kambic
Arbitrator(s): R. Phillip Reed
Hearing Site: Omaha, NE
| | |
| 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 |
