| 20-04110 | 08/31/2022 | Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
|  | Expungement |
| 13-03760 | 07/07/2015 | Claimant(s): Larry Baber
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Anthony Manaia, Edward Hindman, Robert Copus, Intervest International Corporation, Intervest International Equities Corp.
Respondent Lawyers(s): David M. Saperstein, Mark L. Kowalsky
Arbitrator(s): Robert J. Scafuri, Mark Wietchy, Michael James Malone
Hearing Site: Detroit, MI
| | $40,000 |
| 12-00470 | 10/04/2013 | Claimant(s): Greg Chandler
Claimant Lawyers(s): Collin H. Nyeholt
Respondent(s): Wells Fargo Advisors, Mark Tomas, Tomas Holdings., Wolverine Real Estate Partners
Respondent Lawyers(s): Mark L. Kowalsky, Nuviah Shirazi, Esq.
Arbitrator(s): Barry Goldman, Susan L. Currier, Lee Hornberger
Hearing Site: Detroit, MI
| | Expungement |
| 11-01146 | 02/07/2013 | Claimant(s): Angela Fini-Ross
Claimant Lawyers(s): Patrick A. Guentner
Respondent(s): Allen Green, A.Green Financial Group., Cullum & Burks Securities., Royal Securities Company
Respondent Lawyers(s): Brian J. Masternak, Mark L. Kowalsky, Steven L. Burks, President
Arbitrator(s): Thomas Anthony Van Tiem, Ann W. Hartmann, Sandra J. Budnick
Hearing Site: Detroit, MI
| | $400,375 |
| 10-02669 | 11/10/2011 | Claimant(s): Steve Stolaruk
Claimant Lawyers(s): Charles M. Penzien
Respondent(s): Kenneth Warnick, Paul Stanley, Equitas America
Respondent Lawyers(s): Brian Hemker, David M. Saperstein, Mark L. Kowalsky
Arbitrator(s): Jeffry M. Bauer, Kenneth Rochlen, Peter C. Rageas
Hearing Site: Detroit, MI
| | $200,000 |
| 09-01728 | 03/16/2011 | Claimant(s): Thomas Redmond, Thomas A. Redmond Rev Liv Trust et al
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Oppenheimer & Co.., Joseph Eckrich
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Patrick R. Sughroue, Mark Scarr, Mark A. Cleland
Hearing Site: Detroit, MI
| | $221,120 |
| 07-02937 | 12/23/2008 | Claimant(s): Anat Cole, Steven Cole
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Barry Goldstein, Ryan Shaw, Gunnallen Financial.
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Michael D. Patterson, Elizabeth K. Bransdorfer, Thomas W. Lawson
Hearing Site: Detroit, MI
| | $35,000 |
