| 10-03399 | 12/03/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Timothy Scanlan
Respondent Lawyers(s): James A. McGurk
Arbitrator(s): James A. Lundberg
Hearing Site: Milwaukee, WI
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| 09-05778 | 08/20/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): David Waro
Respondent Lawyers(s): David J. Hase
Arbitrator(s): John E. Sundeen, P. J. Boylan, Leon Fox
Hearing Site: Milwaukee, WI
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| 08-02415 | 01/19/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Todd Funk
Respondent Lawyers(s): Sherry Coley
Arbitrator(s): Gregory G. Wille, Florence Z. Enders, Scott Stauffer
Hearing Site: Milwaukee, WI
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| 08-04722 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): David Lehrer, Michael Patterson, Stephen Hird
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Milwaukee, WI
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| 07-02603 | 08/19/2008 | Claimant(s): Robinson Bosworth
Claimant Lawyers(s): Thomas L. Skalmoski
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Gregory G. Wille
Arbitrator(s): Nicholas P. Iavarone, Kevin P. Gerard, Samuel Olutola Akeju
Hearing Site: Milwaukee, WI
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| 07-01835 | 06/26/2008 | Claimant(s): Louise Ladd
Claimant Lawyers(s): Michael H. Schaalman
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Herbert S. Bratt, James P. O'Donnell, Suanne F. Goldman
Hearing Site: Milwaukee, WI
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| 06-04186 | 05/23/2008 | Claimant(s): James Sarkauskas, Brokers Turn.
Claimant Lawyers(s): Jeffrey J. Scott
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Matthew J. Smith
Arbitrator(s): Robert F. O'Keef, James P. O'Donnell, Richard C. Ninneman
Hearing Site: Milwaukee, WI
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| 06-04455 | 10/30/2007 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Forrest M. Smith
Respondent(s): Lawrence Bensman
Respondent Lawyers(s): Lawrence N. Bensman
Arbitrator(s): Amy J. Wenzler
Hearing Site: Milwaukee, WI
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