| 09-00241 | 09/19/2011 | Claimant(s): Gerald Dassow, Gerald and Mary Dassow, Anthony Dassow Trust, Geral and Mary Dassow Trust, Michelle Dassow Trust, Thomas Dassow Trust, Timothy Dassow Trust
Claimant Lawyers(s): Michael H. Schaalman
Respondent(s): Dan Camphausen, Advanced Equities Inc.
Respondent Lawyers(s): Douglas M. Ramsey, Paul J. Sussman
Arbitrator(s): Robert F. O'Keef, James P. O'Donnell, Donald E. Sorensen
Hearing Site: Milwaukee, WI
|  | $180,000 |
| 09-06233 | 09/16/2011 | Claimant(s): JPTDLM, L.P.
Claimant Lawyers(s): Jeffrey J. Liotta
Respondent(s): Oppenheimer & Co.., Jonathan Greene, Kyle Wool, Oppenheimer Asset Management Inc.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Susan H. Schleisner, Gary L. Grolle, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | Expungement |
| 10-04376 | 08/04/2011 | Claimant(s): Jack Loew, Ruth Loew, Loew Revocable Trust
Claimant Lawyers(s): Mark E. Sanders
Respondent(s): John Norquay, Midamerica Financial Services., PivotPoint Advisors
Respondent Lawyers(s): Charles S. Genisio, John Norquay
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | $29,097 |
| 10-03733 | 05/20/2011 | Claimant(s): Joan Grootemaat
Claimant Lawyers(s): Joan R. Grootemaat
Respondent(s): Corinne Moccia-Cunha, Citigroup Global Markets., Morgan Stanley, Owen Dugan
Respondent Lawyers(s): Harper Robinson
Arbitrator(s): James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $325 |
| 08-04243 | 05/06/2011 | Claimant(s): Kenneth Willenson, Layton Property.
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Mark McCloskey, Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): Herbert H. Neuer, Robert F. O'Keef, Gerald J. Thain
Hearing Site: Milwaukee, WI
| | Stipulated Award and Expungement |
| 10-03355 | 03/08/2011 | Claimant(s): Jeffrey Olson
Claimant Lawyers(s): Jeffrey Robert Olson
Respondent(s): Ralph Gannett, Cullum & Burks Securities.
Respondent Lawyers(s): Ralph Thomas Gannett, Steven L. Burks
Arbitrator(s): William B. Ross
Hearing Site: Milwaukee, WI
| | $20,425 |
| 09-06155 | 01/14/2011 | Claimant(s): John A. Winter IRA, Margie M. Winter IRA, John A. Winter & Margie M. Winter, John A. Winter 401K Plan
Claimant Lawyers(s): John Winter
Respondent(s): Robert W. Baird & Co. Incorporated, Thomas Waldkirch
Respondent Lawyers(s): Gregory G. Wille
Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $0 |
| 10-00558 | 01/13/2011 | Claimant(s): Antoinette Guenther, Antoinette S. Guenther Revocable Trust
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Richard Schilffarth, RBC Capital Markets LLC, B. C. Ziegler and Company
Respondent Lawyers(s): Carolyn Guy, Jonathan W. Hackbarth, Nancy L. Hendrickson
Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $0 |
| 10-00993 | 09/14/2010 | Claimant(s): Diane Loper
Claimant Lawyers(s): Diane N. Loper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Herbert S. Bratt
Hearing Site: Milwaukee, WI
| | $0 |
| 09-04066 | 09/07/2010 | Claimant(s): The Estate of John F. Mann
Claimant Lawyers(s): Charles D. Koehler
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Jerry D. Mc Cormack, Kevin J. Demet, Scott T. Silker
Hearing Site: Milwaukee, WI
| | $0 |
