| 11-03456 | 05/31/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Scottie Price
Respondent Lawyers(s): Scottie Ray Price
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
| | |
| 09-06855 | 04/20/2012 | Claimant(s): Christopher Noonan, Stephen Patton, Thomas Noonan
Claimant Lawyers(s): Scott C. Helmholz, Steven W. Koslovsky
Respondent(s): Morgan Stanley, William Lee
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Thomas J. Ray, Jesse David Hill, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | |
| 09-06525 | 09/30/2011 | Claimant(s): Gerald Bamberger, Maxine Bamberger
Claimant Lawyers(s): Robert J. Benbenek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Donald J. Mehan
Arbitrator(s): Thomas J. Ray, Judith A. Payuk, Marilyn T. Selby
Hearing Site: St. Louis, MO
|  | Expungement |
| 09-03946 | 08/25/2011 | Claimant(s): Pamela Koprowski
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): H. Beck.
Respondent Lawyers(s): Molly R. Batsch
Arbitrator(s): Thomas J. Ray, Joan M. Esserman, David Brian Cohen
Hearing Site: St. Louis, MO
| | $0 |
| 10-01340 | 08/01/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): John Bauer
Respondent Lawyers(s): John T. Bauer
Arbitrator(s): Thomas J. Ray
Hearing Site: Dallas, TX
| | |
| 10-04360 | 02/15/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Joseph Jackson
Respondent Lawyers(s): Joseph A. Jackson
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 09-02365 | 11/17/2010 | Claimant(s): Thomas J. Hillman Family Trust
Claimant Lawyers(s): Mark E. Goodman
Respondent(s): Bernard King, UBS Financial Services Inc.
Respondent Lawyers(s): Christopher T. O'Connor
Arbitrator(s): Gerald Cohen, Thomas J. Ray, Jennifer McGillivary
Hearing Site: St. Louis, MO
| | $100,000 |
| 09-00039 | 10/12/2010 | Claimant(s): Evan T. Williams Trust
Claimant Lawyers(s): David Gaba
Respondent(s): Homer Vining, Morgan Keegan & Company.
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Thomas J. Ray, M. Eileen Dorsey, James M. Stern
Hearing Site: St. Louis, MO
| | $375 |
| 09-03841 | 09/17/2010 | Claimant(s): Catharine Bloss, Donald Bloss
Claimant Lawyers(s): Thomas H. Lake
Respondent(s): Edwin Harris, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | $0 |
| 09-01829 | 07/02/2010 | Claimant(s): Leo Steck, Mary Steck, The Leo A. Steck Trust, The Mary L. Steck EAL Trust,, The Mary L. Steck Rev Trust, The Mary L. Steck VFL Trust,, The Sally P. Limbert Trust
Claimant Lawyers(s): Sherri C. Strand
Respondent(s): James McClellan
Respondent Lawyers(s): James Steele McClellan
Arbitrator(s): Thomas J. Ray, Keith E. Mattern, William Stark Port
Hearing Site: St. Louis, MO
| | $382,550 |
