| 13-00138 | 08/25/2014 | Claimant(s): Alberts Trust of 1997 Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Terry F. Peppard, James P. O'Donnell, Gerald J. Thain
Hearing Site: Milwaukee, WI
|  | $195,000 |
| 10-03672 | 11/03/2011 | Claimant(s): Dale Scholl
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Gregory G. Wille, James P. O'Donnell, Richard H. Porter
Hearing Site: Milwaukee, WI
| | Expungement |
| 09-00241 | 09/19/2011 | Claimant(s): Gerald Dassow, Gerald and Mary Dassow, Anthony Dassow Trust, Geral and Mary Dassow Trust, Michelle Dassow Trust, Thomas Dassow Trust, Timothy Dassow Trust
Claimant Lawyers(s): Michael H. Schaalman
Respondent(s): Dan Camphausen, Advanced Equities Inc.
Respondent Lawyers(s): Douglas M. Ramsey, Paul J. Sussman
Arbitrator(s): Robert F. O'Keef, James P. O'Donnell, Donald E. Sorensen
Hearing Site: Milwaukee, WI
| | $180,000 |
| 09-06155 | 01/14/2011 | Claimant(s): John A. Winter IRA, Margie M. Winter IRA, John A. Winter & Margie M. Winter, John A. Winter 401K Plan
Claimant Lawyers(s): John Winter
Respondent(s): Robert W. Baird & Co. Incorporated, Thomas Waldkirch
Respondent Lawyers(s): Gregory G. Wille
Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $0 |
| 10-00558 | 01/13/2011 | Claimant(s): Antoinette Guenther, Antoinette S. Guenther Revocable Trust
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Richard Schilffarth, RBC Capital Markets LLC, B. C. Ziegler and Company
Respondent Lawyers(s): Carolyn Guy, Jonathan W. Hackbarth, Nancy L. Hendrickson
Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $0 |
| 08-04772 | 11/17/2009 | Claimant(s): Herold Family Living Trust
Claimant Lawyers(s): Cletus M. Herold
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Jack D. Elmquist, James P. O'Donnell, Alan B. Fender
Hearing Site: Des Moines, IA
| | $47,691 |
