| 21-02699 | 05/25/2023 | Claimant(s): Beverly Ranken
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Barbara M. Anscher, Jon H. Sylvester, David Handsher
Hearing Site: San Francisco, CA
|  | Expungement |
| 22-01069 | 12/09/2022 | Claimant(s): Karl Schwartz
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 21-02405 | 09/15/2022 | Claimant(s): Russell D. Beaufait IRA
Claimant Lawyers(s): Dietrich P. Epperson
Respondent(s): David Elrod, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Michele Renee Zinn
Hearing Site: Detroit, MI
| | Expungement |
| 21-02092 | 04/14/2022 | Claimant(s): Anthony Salerno
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 21-01524 | 02/04/2022 | Claimant(s): Dennis Coughlin
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Diane Ciccone
Hearing Site: Syracuse, NY
| | |
| 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 |
| 20-03115 | 04/20/2021 | Claimant(s): Michelle Young
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | |
| 20-02202 | 03/24/2021 | Claimant(s): Scott Tiras
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 20-03114 | 03/22/2021 | Claimant(s): Darrell Pennington
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 20-01506 | 03/17/2021 | Claimant(s): Timothy Nolan
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
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