| 23-03248 | 07/09/2024 | Claimant(s): Charles Gottschalk, IRA
Claimant Lawyers(s): Lysa L. Postula-Stein
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
|  | Dismissed by Rule 12206 |
| 21-02405 | 09/15/2022 | Claimant(s): Russell D. Beaufait IRA
Claimant Lawyers(s): Dietrich P. Epperson
Respondent(s): David Elrod, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Michele Renee Zinn
Hearing Site: Detroit, MI
| | Expungement |
| 17-02795 | 02/14/2019 | Claimant(s): Carol Brink
Claimant Lawyers(s): Lydia M. Floyd
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Sal Presti, Debra Granat Grudichak, Mark W Solock
Hearing Site: Chicago, IL
| | Expungement |
| 16-00222 | 02/09/2017 | Claimant(s): Bruce Pritz, Edward Edington, Jerry Oshinski, Lorraine Pritz, Robin Oshinski, Wallace Pritz, Edward Edington IRA, Jerry Oshinski IRA, Robin Oshinski IRA
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Louis Scherschel, Sigma Financial Corporation, Sigma Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Stephany D. McLaughlin
Arbitrator(s): James D. Adducci, Leon Fox, Edward John Zulkey
Hearing Site: Chicago, IL
| | Expungement |
| 14-03545 | 12/12/2016 | Claimant(s): Bruce Dixon, Eric Bergmann, Marla Dixon
Claimant Lawyers(s): David H. Jarvis
Respondent(s): Jerome Rydell, Wayne Pirmann, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Wayne Pirmann
Arbitrator(s): Stephen D Kursman, Lee Hornberger, Carl E. Ver Beek
Hearing Site: Detroit, MI
| | Expungement |
| 14-00810 | 12/23/2015 | Claimant(s): Hollis Kelly, Timothy Kelly
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Wayne Pirmann, Sigma Financial Corporation
Respondent Lawyers(s): Dennis K. Egan, Max S. Emmer
Arbitrator(s): Patrick R. Sughroue, Raymond Wade Henney, Michele Renee Zinn
Hearing Site: Detroit, MI
| | Expungement |
| 14-02264 | 11/12/2015 | Claimant(s): JSF Inv L.P.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): John P. Wilson, George King, Vivian L. Kral
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 12-00512 | 06/19/2015 | Claimant(s): Eugene Doskocz, Fiona Doskocz
Claimant Lawyers(s): Anthony Trogan
Respondent(s): A.G. Edwards & Sons., Sigma Financial Corporation
Respondent Lawyers(s): Brent J. Burtin, Jonathan M. Sterling
Arbitrator(s): Barry Goldman, Kendall B. Perry, William Joseph Caprathe
Hearing Site: Detroit, MI
| | $80,000 |
| 13-03337 | 02/25/2015 | Claimant(s): Nicholas Custer, Nicholas R. Custer, IRA
Claimant Lawyers(s): Susan E. Fisher
Respondent(s): Leslie Goldstein, Robert Hart, Sigma Financial Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Samuel B. Garber
Hearing Site: Chicago, IL
| | $600 |
| 13-02209 | 10/03/2014 | Claimant(s): Carol Humphries, Wilson Humphries
Claimant Lawyers(s): Brian D. Miller, Mitchell S. Ostwald
Respondent(s): Rocco Cortese, Tomas Velken, Sigma Financial Corporation
Respondent Lawyers(s): Avi Wagner, Jonathan M. Sterling
Arbitrator(s): Barbara M. Anscher, Philip Aaron Tymon, Nancy A. Yonge
Hearing Site: San Francisco, CA
| | Expungement |
