| 08-00846 | 10/29/2008 | Claimant(s): Jyoti Shah
Claimant Lawyers(s): Jyoti A. Shah
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James L. Karpen
Hearing Site: Detroit, MI
|  | $0 |
| 07-00601 | 09/26/2008 | Claimant(s): Patrick Fitzpatrick
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Cathy Dickens, Natcity Investments.
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Patrick R. Sughroue, Burton L. Ansell, Charlotte K. Varzi
Hearing Site: Detroit, MI
| | $0 |
| 07-03467 | 09/08/2008 | Claimant(s): Timothy Collins
Claimant Lawyers(s): Joel H. Kaufman
Respondent(s): David White, Inter Securities.
Respondent Lawyers(s): Joseph H. Spiegel, Susan D. Duff
Arbitrator(s): Stewart C.W. Weiner
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 02-05828 | 08/18/2008 | Claimant(s): Larry Thompson
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kevin Grunawalt, Carillon Investments.
Respondent Lawyers(s): David A. Baugh, Gary M. Saretsky
Arbitrator(s): Patrick R. Sughroue, Joseph H. Mizzi, Lee Hornberger
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 04-05809 | 07/18/2008 | Claimant(s): Town Plaza II Investments Ltd., Ely Tama and Andrea Tama
Claimant Lawyers(s): David M. Black
Respondent(s): Cantone Research Inc.
Respondent Lawyers(s): Walter L. Baumgardner
Arbitrator(s): William C. Kubicz, Harold Hood, Peter J. Henning
Hearing Site: Detroit, MI
| | Duplicated Award |
| 07-02600 | 07/09/2008 | Claimant(s): Julie Maleitzke, Estate of Gary L. Maleitzke, Deceased
Claimant Lawyers(s): William K. Murphy
Respondent(s): Brent Kerstetter, Raymond James Financial Services., Michelle Dean
Respondent Lawyers(s): John I. Bain, Kelli Bullington
Arbitrator(s): Patrick R. Sughroue, Benjamin A. Kerner, Thomas L. Imbrunone
Hearing Site: Detroit, MI
| | $0 |
| 05-03691 | 07/08/2008 | Claimant(s): N. Honer
Claimant Lawyers(s): Walter L. Baumgardner
Respondent(s): David Hester, Robert W. Baird & Co. Incorporated, Victor Whang
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): John R. Main, Timothy J. Currier, Lee Hornberger
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 06-01451 | 06/16/2008 | Claimant(s): Joseph Moceri, IRA, Judith Moceri, 401(K) and Profit Sharing Plan, Joseph Moceri Trust
Claimant Lawyers(s): Dean J. Groulx
Respondent(s): Kenneth BrandtL fka Linsco/Private Ledger Corp., Brandt, Kelly & Simmons Securities
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Marvin I. Horowitz, Barry Goldman, Anthony J. Bove
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 06-05045 | 06/16/2008 | Claimant(s): Mary Lenzi, Timothy Lenzi
Claimant Lawyers(s): Shelley Stasson
Respondent(s): Christopher Dowd, Merrill Lynch, Merrill Lynch Life Agency.
Respondent Lawyers(s): Jeffrey T. Rogg
Arbitrator(s): Stewart C.W. Weiner, V. George Laktzian, Paul Sislin
Hearing Site: Detroit, MI
| | $0 |
| 07-00878 | 06/11/2008 | Claimant(s): Kimberlee Johnson, William Capron
Claimant Lawyers(s): Kimberlee Johnson, William Capron
Respondent(s): James Carter, John McCloskey, A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Francis R. Ortiz, Kenneth J. Safran, Mark R Werder
Hearing Site: Detroit, MI
| | $0 |
