| 20-01477 | 08/02/2021 | Claimant(s): JDSF Investments
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Kevin Perlberg, United Planners' Financial Services of A
Respondent Lawyers(s): David A. Baugh, Jonathan M. Sterling
Arbitrator(s): Jeffry M. Bauer, Gregory G. Wille, David E. Jarvis
Hearing Site: Milwaukee, WI
|  | Dismissed by Rule 12206 |
| 18-00438 | 08/15/2018 | Claimant(s): Matthew Schultz
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Frank Schultz, Wells Fargo Advisors
Respondent Lawyers(s): Frank Helmut Schultz, Michael Naccarato
Arbitrator(s): Peter Ordower
Hearing Site: Chicago, IL
| | |
| 15-02672 | 05/05/2017 | Claimant(s): Britta Nosbaum, Finn G. Nosbaum Trust, Lillian R. Nosbaum Trust
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Stephen L. Gardner
Arbitrator(s): Theodore W. Wrobleski, Lynn Hirschfeld Brahin, Irving S. Capitel
Hearing Site: Chicago, IL
| | $0 |
| 15-03055 | 12/27/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gary I. Blackman
Respondent(s): Craig Lennon
Respondent Lawyers(s): Thomas F. Burke
Arbitrator(s): William M. Getzoff
Hearing Site: Chicago, IL
| | |
| 15-00040 | 12/31/2015 | Claimant(s): Bruce Burns
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): Stephen C. Esposito, Michael Nathanson, Joseph John Novak
Hearing Site: Chicago, IL
| | $0 |
| 13-01838 | 11/12/2014 | Claimant(s): Robert Kenneke
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Fifth Third Securities., Mark Rottler
Respondent Lawyers(s): Christen M. Steimle
Arbitrator(s): Michael S. Matek, Thomas F. Mahoney, Michael David Bohne
Hearing Site: Chicago, IL
| | $100,000 |
| 13-00640 | 11/06/2013 | Claimant(s): Theodore R. Davis Trust DTD 3/8/2007
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Stephen J. Fields
Arbitrator(s): Michael A. Rzewnicki, John R. Loss, David F. Barrett
Hearing Site: Kansas City, MO
| | $234,466 |
| 09-06958 | 12/28/2011 | Claimant(s): Tall Trees
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Cole Partners, Lynn Sieben
Respondent Lawyers(s): Daniel D. White, Thomas F. Burke
Arbitrator(s): Robert S. Sugarman, Champ W. Davis, Abe Jay Goldsmith
Hearing Site: Chicago, IL
| | Expungement |
| 10-02906 | 12/12/2011 | Claimant(s): Scott Sutherland
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Dwight Badger, Keith Daubenspeck, Advanced Equities.
Respondent Lawyers(s): Amal S. Amin
Arbitrator(s): Sanford J. Prizant, Richard R. Bicek, James A. Murphy
Hearing Site: Chicago, IL
| | |
| 08-00521 | 02/20/2009 | Claimant(s): Stephanie Pinto, Stephanie Pinto TTEE for Pinto Family, Stephanie Pinto TTEE of Stephen Gambino
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Daniel M. Mankowski, Ralph L. Halpern, Ronald Ripstein
Hearing Site: Buffalo, NY
| | $0 |
