| 14-00209 | 11/19/2015 | Claimant(s): James Hammes
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Terry F. Peppard, William B. Ross, Gerald J. Thain
Hearing Site: Milwaukee, WI
|  | Expungement |
| 14-00383 | 09/22/2015 | Claimant(s): Donna Cramer, John Cramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Terry F. Peppard, Kevin D. Hofman, Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $58,563 |
| 14-03642 | 06/04/2015 | Claimant(s): Larry Bender
Claimant Lawyers(s): Larry G. Bender
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Terry F. Peppard
Hearing Site: Indianapolis, IN
| | $0 |
| 14-01859 | 04/14/2015 | Claimant(s): Beverly Copeland, Fran Scowden
Claimant Lawyers(s): Matthew Dumas
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Terry F. Peppard
Hearing Site: Indianapolis, IN
| | $31,741 |
| 13-03106 | 10/23/2014 | Claimant(s): Rose M. Dodge
Claimant Lawyers(s): Rose M. Dodge
Respondent(s): Aron Martz
Respondent Lawyers(s): John Rock
Arbitrator(s): Terry F. Peppard
Hearing Site: Rapid City, SD
| | $0 |
| 14-00808 | 10/03/2014 | Claimant(s): Thomas Strehl and Barbara Strehl
Claimant Lawyers(s): Richard E. Nell
Respondent(s): Daniel Balch, Woodbury Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | $9,600 |
| 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 |
| 13-00137 | 03/03/2014 | Claimant(s): Cheryl Christiansen
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Terry F. Peppard, Arthur Richard Tow, Verne R. Gray
Hearing Site: Des Moines, IA
| | Expungement |
| 11-03793 | 10/16/2013 | Claimant(s): Marise Engel, Richard Engel, Richard J. and Marise A. Engel
Claimant Lawyers(s): Richard Engel
Respondent(s): Brion Collins, Gary Tsoumas, Jack Kapinus, Todd Sivak, MML Investors Services
Respondent Lawyers(s): Beth A. Dodson, Fred N. Knopf, Patrick J. Lubenow, Ross A. Anderson
Arbitrator(s): Herbert H. Neuer, Terry F. Peppard, James Richard Carlson
Hearing Site: Milwaukee, WI
| | $0 |
| 10-01775 | 07/20/2012 | Claimant(s): Mary Larson Weber, Rhonda Larson, Scott Larson, Sue Kerans, Taylor Lord, Thomas Larson, Howard H. Larson Revocable Living Trust
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Wells Fargo Advisors, Jay Weiland, Fiduciary Partners.
Respondent Lawyers(s): Miriam G. Bahcall, Sean M. Sweeney
Arbitrator(s): Terry F. Peppard, Jeffrey S. Fannon, David E. Jarvis
Hearing Site: Milwaukee, WI
| | $227,750 |
