| 20-03734 | 05/20/2021 | Claimant(s): Craig McFadden, Heidi Faber-McFadden, beneficiary, IRA FBO Craig W. McFadden
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Alexander A. Truitt
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Milwaukee, WI
|  | $0 |
| 20-03792 | 05/20/2021 | Claimant(s): Charles Fremont
Claimant Lawyers(s): Charles L. Fremont
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): James Richard Carlson, Susanne J. Hollander, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 19-01849 | 05/06/2021 | Claimant(s): James Cox
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Daniel Soliman, Mario Divita, Traderfield Securities Inc.
Respondent Lawyers(s): Daniel M. Soliman, Mario Divita
Arbitrator(s): Barry Goldman
Hearing Site: Milwaukee, WI
| | Expungement |
| 20-03993 | 04/21/2021 | Claimant(s): Randall & Evann Richards Living Trust
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): David E. Jarvis
Hearing Site: Milwaukee, WI
| | $24,385 |
| 20-01474 | 03/24/2021 | Claimant(s): Cynthia Gruchalski
Claimant Lawyers(s): Timothy J. Andringa
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | $35,225 |
| 20-00454 | 06/22/2020 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): Rachel Heu
Respondent Lawyers(s): Rachel Heu
Arbitrator(s): Michael J. Meeusen
Hearing Site: Milwaukee, WI
| | $0 |
| 19-02636 | 01/13/2020 | Claimant(s): Sharon Loxton
Claimant Lawyers(s): Sharon P. Loxton
Respondent(s): Ameriprise Financial Services., John Lynch
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Michael S. Jordan
Hearing Site: Milwaukee, WI
| | $3,775 |
| 19-01900 | 12/17/2019 | Claimant(s): Bonnie Taylor
Claimant Lawyers(s): Bonnie June Taylor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Jerry D. McCormack, David J. Hase, Jessica Gibson
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206/12504 |
| 18-02242 | 11/20/2019 | Claimant(s): Donna Hosking, Dorene Stoffels, James Stoffels
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Forest Securities.
Respondent Lawyers(s): Christopher Wurtzinger
Arbitrator(s): Michael F. Jordan, Leonard G Leverson, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | $121,746 |
| 17-01786 | 09/26/2019 | Claimant(s): The Estate of Nancy Allan
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Seth M Erickson
Arbitrator(s): Terry F Peppard, Kevin J. Demet, William Joseph Caprathe
Hearing Site: Milwaukee, WI
| | $167,002 |
