| 22-01012 | 12/13/2023 | Claimant(s): Gary Rabe
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Mark S. Foster, William B. Ross, Charles A. Palmer
Hearing Site: Des Moines, IA
|  | $4,529 |
| 14-02921 | 05/27/2016 | Claimant(s): William Eddy, Barbara Eddy Trust, William J. Eddy Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): John Weiss, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): M. W. Gear, William B. Ross, Verne R. Gray
Hearing Site: Des Moines, IA
| | Expungement |
| 14-00209 | 11/19/2015 | Claimant(s): James Hammes
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Terry F. Peppard, William B. Ross, Gerald J. Thain
Hearing Site: Milwaukee, WI
| | Expungement |
| 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 |
| 12-03195 | 03/19/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): Mark G. Vaughan
Respondent(s): Sarah Hobbins
Respondent Lawyers(s): Sarah L. Hobbins
Arbitrator(s): William B. Ross
Hearing Site: Milwaukee, WI
| | $0 |
| 11-04712 | 07/11/2012 | Claimant(s): Herold Family Living Trust UAD
Claimant Lawyers(s): Cletus M. Herold
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): William B. Ross
Hearing Site: Des Moines, IA
| | $0 |
| 10-04618 | 01/23/2012 | Claimant(s): Robert Gloss
Claimant Lawyers(s): Michael F Marlow
Respondent(s): Wells Fargo Investments, James Beare
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): William B. Ross, Lee T. Beske, Frederick Ramos
Hearing Site: Minneapolis, MN
| | 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 |
| 10-02047 | 12/16/2010 | Claimant(s): Michael Lees
Claimant Lawyers(s): Michael A Lees
Respondent(s): Richard Pollan, Morgan Wilshire Securities.
Respondent Lawyers(s): Michael Finnan, Richard Douglas Pollan
Arbitrator(s): William B. Ross
Hearing Site: Rapid City, SD
| | $764 |
| 05-05872 | 06/04/2009 | Claimant(s): Lloyd and Edith Kippley
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): First Republic Group
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Emanuel V. Gumina, James R. Schoenike, William B. Ross
Hearing Site: Milwaukee, WI
| | $134,504 |
