| 18-02535 | 07/29/2019 | Claimant(s): Michael Haas
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Thomas Carroll, Summit Investment Management, LTD.
Respondent Lawyers(s): Brandon Gutschow
Arbitrator(s): Jerry D. McCormack, Lynn Hirschfeld Brahin, Jessica Gibson
Hearing Site: Milwaukee, WI
|  | $100,000 |
| 17-03215 | 12/18/2018 | Claimant(s): Timothy Goggins
Claimant Lawyers(s): Matthew M. Fernholz
Respondent(s): Bradley Angeletti, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Patrick J. Lubenow
Arbitrator(s): Jeffry M. Bauer, Herbert S. Bratt, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
| | Expungement |
| 17-00360 | 08/13/2018 | Claimant(s): Mary Shea, Patrick Shea
Claimant Lawyers(s): Adam Gana
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): Compliance Officer
Arbitrator(s): Tracy L. Allen, Michael S. Jordan, David E. Jarvis
Hearing Site: Milwaukee, WI
| | $4,978,000 |
| 16-02506 | 07/12/2018 | Claimant(s): Sheldon & Judith Ferkey Revocable Trust
Claimant Lawyers(s): Michael Schaalman
Respondent(s): Judith Ferkey, TD Ameritrade Clearing., Sheldon Ferkey
Respondent Lawyers(s): Dana Sirkis Gloor, Michael Schaalman
Arbitrator(s): David J. Hase, Jonathan B. Gilbert, Susan L. Walker
Hearing Site: Milwaukee, WI
| | $0 |
| 15-03467 | 06/14/2018 | Claimant(s): James Schiller, Jean Schiller
Claimant Lawyers(s): Terrence Polich
Respondent(s): Morgan Stanley, Keith Bryan, Robert Frank
Respondent Lawyers(s): Jeremy S. Winer, Stephen L. Morgan
Arbitrator(s): P. J. Boylan, Susanne J. Hollander, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
| | Expungement |
| 16-03005 | 05/22/2018 | Claimant(s): Carrol Schiller
Claimant Lawyers(s): Terrence M. Polich
Respondent(s): Morgan Stanley, Keith Bryan, Robert Frank
Respondent Lawyers(s): Jeremy S. Winer, Stephen L. Morgan
Arbitrator(s): Tracy L. Allen
Hearing Site: Milwaukee, WI
| | Expungement |
| 17-02272 | 04/11/2018 | Claimant(s): Jerome Nelson, Kathleen Nelson
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Packerland Brokerage Services., Triad Advisors.
Respondent Lawyers(s): David A. Baugh, Dennis C. Carter
Arbitrator(s): Jeffry M. Bauer, Jonathan B. Gilbert, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
| | $0 |
| 16-02974 | 03/29/2018 | Claimant(s): Dolores Prohaska, Edward Prohaska
Claimant Lawyers(s): Michael H. Schaalman
Respondent(s): David Harris, Kevin Cline, Source Capital Group.
Respondent Lawyers(s): David W. Harris, David Harris, Travis Creed
Arbitrator(s): Robert J. Scafuri, Stanley H. Michelstetter, Susan H. Schleisner
Hearing Site: Milwaukee, WI
| | $300,000 |
| 16-01794 | 10/11/2017 | Claimant(s): Thomas Donohue
Claimant Lawyers(s): Thomas Donohue
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Stephen D Kursman
Hearing Site: Milwaukee, WI
| | Expungement |
| 16-01522 | 07/24/2017 | Claimant(s): Steve Boehm IRA
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): K.C. Ward Financial
Respondent Lawyers(s): Louis Ward
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | $11,610 |
