| 09-03969 | 10/27/2011 | Claimant(s): Ronald Kief IRA, The Ronald Kief Trust Account, The Rosa Lynn Kief Family Trust
Claimant Lawyers(s): Paul L. Nine
Respondent(s): David Pappas, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Clarence L. Pozza
Arbitrator(s): James L. Karpen, Lee Hornberger, Pamela Mary Lindner
Hearing Site: Detroit, MI
|  | $0 |
| 09-03910 | 08/15/2011 | Claimant(s): Dorothy Rapp, Seymour Rapp, Seymour L. Rapp Trust
Claimant Lawyers(s): Joel H. Kaufman
Respondent(s): Dominic Nieto, Morgan Stanley & Co.
Respondent Lawyers(s): August "Jamie" H. Schupp
Arbitrator(s): Anthony J. Bove, Lee Hornberger, Carl E. Ver Beek
Hearing Site: Detroit, MI
| | $0 |
| 10-03151 | 06/07/2011 | Claimant(s): Hugh Gershon
Claimant Lawyers(s): Craig W. Horn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Stephen D Kursman, Lee Hornberger, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | $250,000 |
| 10-00208 | 04/21/2011 | Claimant(s): Joann Kersten, Paulus Kersten
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): David Smolarek, Mutual Service Corporation
Respondent Lawyers(s): Daniel W. Rucker
Arbitrator(s): Diane Catherine Tietmeyer, Lee Hornberger
Hearing Site: Detroit, MI
| | Expungement |
| 07-03554 | 03/31/2010 | Claimant(s): Gloria Amstrong
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein, GunnAllen Financial., Questar Capital Corporation
Respondent Lawyers(s): Frank J. Bluestein, Julie H. Firestone, Suzanne Walsh
Arbitrator(s): A. Robert Stevenson, Lee Hornberger, Anthony Allen Mogle
Hearing Site: Detroit, MI
| | $137,000 |
| 08-00578 | 10/02/2009 | Claimant(s): The Arthur G. Schmidt Living Trust
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Patrick Dorcey, Edward Jones
Respondent Lawyers(s): Bradley J. Schram
Arbitrator(s): Robert J. Scafuri, Lawrence George Kloth, Lee Hornberger
Hearing Site: Detroit, MI
| | $50,000 |
| 07-02308 | 01/15/2009 | Claimant(s): Suzette Roth
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Harold Magill, National Financial Services LLC, The Riderwood Group Incorporated
Respondent Lawyers(s): David M. Chromy, Michael G. Shannon, Neal Brickman
Arbitrator(s): Robert J. Scafuri, Walter L. Baumgardner, Lee Hornberger
Hearing Site: Detroit, MI
| | $550,000 |
| 02-05828 | 08/18/2008 | Claimant(s): Larry Thompson
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kevin Grunawalt, Carillon Investments.
Respondent Lawyers(s): David A. Baugh, Gary M. Saretsky
Arbitrator(s): Patrick R. Sughroue, Joseph H. Mizzi, Lee Hornberger
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 05-03691 | 07/08/2008 | Claimant(s): N. Honer
Claimant Lawyers(s): Walter L. Baumgardner
Respondent(s): David Hester, Robert W. Baird & Co. Incorporated, Victor Whang
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): John R. Main, Timothy J. Currier, Lee Hornberger
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 05-06038 | 09/24/2007 | Claimant(s): Christopher Glaub
Claimant Lawyers(s): James C. Steffl
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lauryn J. Hart
Arbitrator(s): Edward Rosenbaum, Allan G. Vagstad, Lee Hornberger
Hearing Site: Detroit, MI
| | $0 |
