| 13-01533 | 05/08/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Michael Middleton
Respondent Lawyers(s): John J. Miller
Arbitrator(s): Thomas J. Ray, Sandra K. Hummel, James A. Hayes
Hearing Site: Kansas City, MO
| | |
| 10-00136 | 04/15/2014 | Claimant(s): Veronica O'Brien
Claimant Lawyers(s): Veronica O'Brien
Respondent(s): Morgan Stanley, Mark Digman
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Thomas J. Ray, Jennifer McGillivary, David Cottingham Mann
Hearing Site: St. Louis, MO
|  | Expungement |
| 09-00239 | 01/29/2014 | Claimant(s): Norman Meyer
Claimant Lawyers(s): Helmut Starr
Respondent(s): Questar Asset Management., Questar Capital Corporation
Respondent Lawyers(s): James F. Jorden
Arbitrator(s): Thomas J. Ray, Albert J. Haller, Teresa Marie Boyer Allgeyer
Hearing Site: St. Louis, MO
| | |
| 11-04088 | 12/17/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Morgan Stanley, Todd Thrasher
Respondent Lawyers(s): S. Francis Baldwin, Sal Hernandez
Arbitrator(s): Thomas J. Ray, Phillip L. Wisely, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | |
| 12-03051 | 12/02/2013 | Claimant(s): Gary Siegfried
Claimant Lawyers(s): Gary D. Siegfried
Respondent(s): John Sweeney, ING Financial Partners., ING Reliastar Life Insurance Company
Respondent Lawyers(s): James V. Garvey
Arbitrator(s): Thomas J. Ray, M. Eileen Dorsey, Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | |
| 12-01068 | 11/14/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Steven Elefson
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Thomas J. Ray, Jerry M. Deters, David Cottingham Mann
Hearing Site: St. Louis, MO
| | |
| 10-02565 | 04/17/2013 | Claimant(s): Bob Rastberger, Brad Amundson, Bridget Fletcher, Kenneth Ahrens, Perry DiClemente, Mark and Sarah Salvia, Timothy and Barbara McIntyre
Claimant Lawyers(s): Albert Watkins
Respondent(s): Michael Baker, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Michael G. Baker
Arbitrator(s): Anthony J. Soukenik, Thomas J. Ray, Christopher J. Janson
Hearing Site: St. Louis, MO
| | $304,470 |
| 12-02615 | 03/04/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Seth A. Miller
Respondent(s): Christopher Pierce
Respondent Lawyers(s): Christopher Edward Pierce
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
| | |
| 11-04627 | 01/23/2013 | Claimant(s): William Bud
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): Edward C. Lawrence, Thomas J. Ray, David F. Barrett
Hearing Site: St. Louis, MO
| | Expungement |
| 10-02668 | 06/01/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David Markun
Respondent(s): John Hopkins
Respondent Lawyers(s): John H. Hopkins
Arbitrator(s): Thomas J. Ray
Hearing Site: Louisville, KY
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