| 23-03248 | 07/09/2024 | Claimant(s): Charles Gottschalk, IRA
Claimant Lawyers(s): Lysa L. Postula-Stein
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
|  | Dismissed by Rule 12206 |
| 21-02699 | 05/25/2023 | Claimant(s): Beverly Ranken
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Barbara M. Anscher, Jon H. Sylvester, David Handsher
Hearing Site: San Francisco, CA
| | Expungement |
| 21-02405 | 09/15/2022 | Claimant(s): Russell D. Beaufait IRA
Claimant Lawyers(s): Dietrich P. Epperson
Respondent(s): David Elrod, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Michele Renee Zinn
Hearing Site: Detroit, MI
| | Expungement |
| 20-01477 | 08/02/2021 | Claimant(s): JDSF Investments
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Kevin Perlberg, United Planners' Financial Services of A
Respondent Lawyers(s): David A. Baugh, Jonathan M. Sterling
Arbitrator(s): Jeffry M. Bauer, Gregory G. Wille, David E. Jarvis
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 17-00740 | 06/13/2018 | Claimant(s): Frank A. Rossi Sr and Catherine M. Rossi
Claimant Lawyers(s): Kevin T. O'Brien
Respondent(s): James Honaker, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Richard W. Dissen, L. Paul Kehoe, Ronald F Thompson
Hearing Site: Buffalo, NY
| | $11,316 |
| 17-02759 | 05/10/2018 | Claimant(s): Richard Meoak
Claimant Lawyers(s): Richard Meoak
Respondent(s): Martin Grattan
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | $600 |
| 16-00180 | 05/24/2017 | Claimant(s): Marlene Lane
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Susan L. Walker, John L. Krauss, William Peter Kealey
Hearing Site: Indianapolis, IN
| | Expungement |
| 16-00222 | 02/09/2017 | Claimant(s): Bruce Pritz, Edward Edington, Jerry Oshinski, Lorraine Pritz, Robin Oshinski, Wallace Pritz, Edward Edington IRA, Jerry Oshinski IRA, Robin Oshinski IRA
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Louis Scherschel, Sigma Financial Corporation, Sigma Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Stephany D. McLaughlin
Arbitrator(s): James D. Adducci, Leon Fox, Edward John Zulkey
Hearing Site: Chicago, IL
| | Expungement |
| 14-03545 | 12/12/2016 | Claimant(s): Bruce Dixon, Eric Bergmann, Marla Dixon
Claimant Lawyers(s): David H. Jarvis
Respondent(s): Jerome Rydell, Wayne Pirmann, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Wayne Pirmann
Arbitrator(s): Stephen D Kursman, Lee Hornberger, Carl E. Ver Beek
Hearing Site: Detroit, MI
| | Expungement |
| 15-02110 | 11/23/2016 | Claimant(s): Erin Tessman, Harold Tessman
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Kris Maksimovich
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Lawrence R. Maxwell, Sheldon Weinhaus, Brian James Tagtmeier
Hearing Site: Little Rock, AR
| | Expungement |
