| 17-00817 | 09/08/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Robert Christie
Respondent(s): Patrick Auckland
Respondent Lawyers(s): Patrick John Auckland
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 16-03341 | 07/03/2017 | Claimant(s): Steven Case
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation, Voya Financial Advisors.
Respondent Lawyers(s): Mark Sides, Scott R. Forbush
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 14-01215 | 01/26/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Jeffrey Fratarcangeli
Respondent Lawyers(s): Michael Taaffe
Arbitrator(s): George E. White, Lee Hornberger, Michael John Falvo
Hearing Site: Detroit, MI
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| 15-01636 | 06/06/2016 | Claimant(s): Michael Vogel
Claimant Lawyers(s): Kristina Araya
Respondent(s): Carol Brouwer, Jim Brouwer
Respondent Lawyers(s): Jim Brouwer
Arbitrator(s): Benjamin A. Kerner, Lee Hornberger, Wayne Carl Hallquist
Hearing Site: Detroit, MI
| | Expungement |
| 15-00644 | 04/13/2016 | Claimant(s): Alvin Hill
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Lee Hornberger, Gail Katherine Barski-McCracken, Lisa Sue Fildes
Hearing Site: Detroit, MI
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| 15-03446 | 03/30/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Ronny Acluche
Respondent Lawyers(s): Ronny Acluche
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 15-00128 | 05/06/2015 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): Frederick R. Dewey
Respondent(s): Jeremy Dillon
Respondent Lawyers(s): Jeremy Lee Dillon
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 13-01898 | 11/22/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Paul Schultz
Respondent Lawyers(s): Paul Scott Schultz
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 10-00299 | 03/27/2012 | Claimant(s): National Planning Corporation
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Michael Spencer
Respondent Lawyers(s): Walter L. Baumgardner
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 11-03193 | 12/21/2011 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P Mauch
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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