| 19-03798 | 06/03/2020 | Claimant(s): Kent Burkhart
Claimant Lawyers(s): Kent W. Burkhart
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Raymond W. Henney
Arbitrator(s): Lee H. Goodman
Hearing Site: Detroit, MI
|  | $0 |
| 18-04172 | 05/13/2020 | Claimant(s): Alan Hoffman, Sharon Field
Claimant Lawyers(s): Jaclyn M. Reinhart
Respondent(s): Erold Merko, TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Edward M. Olson, Michael J. Meeusen, Douglas S. Parker
Hearing Site: Detroit, MI
| | Settlement |
| 18-03519 | 01/06/2020 | Claimant(s): Barbara Remer, Vickie Kraszewski
Claimant Lawyers(s): W. Jay Brown
Respondent(s): Kriss Klaus, PFS Investments Inc.
Respondent Lawyers(s): Raymond W. Henney
Arbitrator(s): Tracy L. Allen, Erane C. Washington-Kendrick, Jo A. Irby
Hearing Site: Detroit, MI
| | $0 |
| 17-02559 | 12/24/2019 | Claimant(s): Robert Liggett, Victoria Liggett, Liggett Investments LLC, Liggett Ventures LLC, Robert G. Liggett, Jr., Custodian, Victoria L. Liggett, Trustee
Claimant Lawyers(s): Dennis J. Levasseur
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Timothy J. Currier, Barry Goldman, Betty R. Widgeon
Hearing Site: Detroit, MI
| | Settlement |
| 18-02445 | 12/19/2019 | Claimant(s): Robert Yanik, August & Helen Revocable Living Trust
Claimant Lawyers(s): Jason T. Albin
Respondent(s): LPL Financial LLC, Bradley Fischer
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Mauricio Kohn, Patrick R. Sughroue, Tracy L. Allen
Hearing Site: Detroit, MI
| | $0 |
| 19-00024 | 10/16/2019 | Claimant(s): Emmalee Jones, Roderick Sibley, Roderick A. Sibley IRA
Claimant Lawyers(s): Emmallee D. Jones, Roderick A. Sibley
Respondent(s): Lyndon Davis, Raymond, James & Associates.
Respondent Lawyers(s): Lyndon L. Davis, Raymond W. Henney
Arbitrator(s): Gail K. Barski-McCracken, Kenneth Alan Roth, Sandra Jo Baumchen
Hearing Site: Detroit, MI
| | Settlement |
| 18-00528 | 09/04/2019 | Claimant(s): Hermann Spranger, II IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Adam M. Wenner
Arbitrator(s): Patrick R. Sughroue, Terrance J. Dorcy, Mark Scarr
Hearing Site: Detroit, MI
| | $0 |
| 17-02998 | 08/07/2019 | Claimant(s): Rande Somma and Georgia Somma
Claimant Lawyers(s): Robert M. Sosin
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Alan J. Taylor
Arbitrator(s): Martin Brosnan, Tracy L. Allen, O'Neal Oliver Wright
Hearing Site: Detroit, MI
| | Expungement |
| 18-02945 | 06/27/2019 | Claimant(s): Douglas D. and Joan L. Start
Claimant Lawyers(s): Joan L. Start
Respondent(s): Thomas Oakes, Royal Securities Company
Respondent Lawyers(s): Thomas Cameron Oakes, Troy Ernzer
Arbitrator(s): Gerald W. Hepp
Hearing Site: Detroit, MI
| | $70,000 |
| 18-02950 | 06/26/2019 | Claimant(s): Larry Kloth
Claimant Lawyers(s): Thomas P. Dillon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stephanie L. Sweitzer
Arbitrator(s): Gail K. Barski-McCracken, Gerald W. Hepp, Zachary William Behler
Hearing Site: Detroit, MI
| | $0 |
