| 13-01269 | 05/02/2014 | Claimant(s): Patricia Wimmer
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): David Neilon, Allied Beacon Partners., American Beacon Partners., Beacon Acquisition Partners.
Respondent Lawyers(s): Debra A. Jenks, James Hintz, Robert P. Mather
Arbitrator(s): Jerry D. Mc Cormack, Sondra Sellars, Richard H. Porter
Hearing Site: Milwaukee, WI
|  | $0 |
| 13-03086 | 02/10/2014 | Claimant(s): Gilbert Schouten
Claimant Lawyers(s): Stacie H. Rosenzweig
Respondent(s): Robert Jakubiak, Timothy Stout
Respondent Lawyers(s): Robert Joseph Jakubiak, Timothy James Stout
Arbitrator(s): James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $91,142 |
| 12-01171 | 12/20/2013 | Claimant(s): Patricia Loberg, Paul Loberg
Claimant Lawyers(s): Robert A. Mathers
Respondent(s): Barry Pittman, John Thomas Financial
Respondent Lawyers(s): Barry V. Pittman, Company President
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
| | $132,000 |
| 13-00893 | 12/20/2013 | Claimant(s): John Lehman
Claimant Lawyers(s): John E. Lehman
Respondent(s): Jack Pankau, Patrick Read, ITG Derivatives LLC
Respondent Lawyers(s): Patrick Chi
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Milwaukee, WI
| | $0 |
| 12-03607 | 12/17/2013 | Claimant(s): Martell Joint Revocable Living Trust
Claimant Lawyers(s): Sean M Sweeney
Respondent(s): B. C. Ziegler And Company
Respondent Lawyers(s): Matthew J. Flynn
Arbitrator(s): Thomas F. Mahoney, William B. Ross, Kevin J. Demet
Hearing Site: Milwaukee, WI
| | $311,000 |
| 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 |
| 12-01571 | 10/11/2013 | Claimant(s): David Wasielewski
Claimant Lawyers(s): David Neuman
Respondent(s): Joel Blumenschein, Leonard Dunn, EZ Stocks., Freedom Investors Corp.
Respondent Lawyers(s): Andrew G. Frank
Arbitrator(s): Ralph M. Goren, James R. Schoenike, Fredric R. Dichter
Hearing Site: Milwaukee, WI
| | Expungement |
| 13-00939 | 09/25/2013 | Claimant(s): Polly Knoll, SEP IRA
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Daniel Retzke, Edward D. Jones & Co., L.P.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Sheldon I. Saitlin
Hearing Site: Milwaukee, WI
| | $19,600 |
| 12-01528 | 09/23/2013 | Claimant(s): Steven Barbeau, Steven P. Barbeau IRA
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Caroline K. Hall
Arbitrator(s): Susan L. Walker, Mark A. Frankel, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | Expungement |
| 11-04665 | 09/04/2013 | Claimant(s): Gary Epping
Claimant Lawyers(s): Edward H. Glenn, Jr.
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Milwaukee, WI
| | Expungement |
