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 |
17-00821 | 07/27/2018 | Claimant(s): David Ulrich Claimant Lawyers(s): Thomas H. Brandt Respondent(s): Roosevelt & Crossorporated Respondent Lawyers(s): Sandra P. Lahens Arbitrator(s): Tracy L. Allen, Patrick M. Markey, John C. Aten Hearing Site: Buffalo, NY
| | Expungement |
17-01184 | 05/25/2018 | Claimant(s): Agnes Harris, Donald Harris, Trustees of their Retirement Accounts, Trustees of Their Family Trust Claimant Lawyers(s): Stuart R. Berkowitz Respondent(s): LPL Financial LLC, Robert Mitchell Respondent Lawyers(s): Thomas Barnett Arbitrator(s): Michael L. Lyons, Tracy L. Allen, Brian Clinton Underwood Hearing Site: St. Louis, MO
| | 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 |
16-00724 | 02/14/2017 | Claimant(s): Helen Mirling Claimant Lawyers(s): David P. Meyer Respondent(s): Fifth Third Securities. Respondent Lawyers(s): D. Justin Gingerich Arbitrator(s): Tracy L. Allen, John Anthony Simonetti, William Joseph Caprathe Hearing Site: Cleveland, OH
| | $0 |
16-01614 | 10/18/2016 | Claimant(s): Jacob Podber Claimant Lawyers(s): Jacob Podber Respondent(s): TD Ameritrade Clearing. Respondent Lawyers(s): Amanda Wright Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO
| | $56 |
14-03599 | 10/11/2016 | Claimant(s): Larry Kolodey Claimant Lawyers(s): Ian J. Frimet Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Edward M. Olson, Jeffry M. Bauer, Tracy L. Allen Hearing Site: Detroit, MI
| | Expungement |
14-01941 | 04/22/2015 | Claimant(s): Larry Osweiler Claimant Lawyers(s): Larry Osweiler Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI
| | $0 |
12-00765 | 10/15/2014 | Claimant(s): Sherry Katz-Hedrington, Security Financial Management Compnay, L Claimant Lawyers(s): Derek S Wilczynski Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Kyle D. Rettberg Arbitrator(s): Tracy L. Allen, Matthew W. Schlegel, Gerald W. Hepp Hearing Site: Detroit, MI
| | $600 |
08-00700 | 01/05/2009 | Claimant(s): Harold Weisberg Claimant Lawyers(s): Stewart C.W. Weiner Respondent(s): Amy Renk, Gary Pryka, Fidelity Brokerage Services LLC Respondent Lawyers(s): Cameron S. Matheson Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI
| | $7,300 |