| 22-01836 | 04/17/2024 | Claimant(s): Bula Land Trucking LLC C/O Eugene Bula
Claimant Lawyers(s): David B. Vermont
Respondent(s): Stephen Marek, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Mark A. Frankel, Mark Richard Cummisford, Nathaniel Cade
Hearing Site: Milwaukee, WI
|  | $0 |
| 23-01079 | 03/21/2024 | Claimant(s): Blake Schultz
Claimant Lawyers(s): L. Lars Hulsebus
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mark A. Frankel, Peter F. Alepra, Colby L. Rhodd
Hearing Site: Des Moines, IA
| | $0 |
| 23-01017 | 11/29/2023 | Claimant(s): Deanne Schlarbaum
Claimant Lawyers(s): Darwin Bunger
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark A. Frankel
Hearing Site: Des Moines, IA
| | $0 |
| 22-01283 | 05/30/2023 | Claimant(s): Lisa Massar
Claimant Lawyers(s): Lisa B. Massar
Respondent(s): Wells Fargo Clearing Services, Johanna Laudicina, Lauren Matles, Ronald Sirt
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Jerry D. McCormack, Mark A. Frankel, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
| | Dismissed with Rule 12504 |
| 19-02155 | 08/17/2021 | Claimant(s): Robert Crane
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Christopher Nelson, Craig Sherman, Joseph Thurnherr, Robert Calamunci, Wynston Hill Capital
Respondent Lawyers(s): Christopher Joseph Nelson, David A. Allen, Joseph Morris Thurnherr, Paul Goodman
Arbitrator(s): David Evans Rosedahl, Avery B. Goodman, Mark A. Frankel
Hearing Site: Des Moines, IA
| | $478,477 |
| 20-03792 | 05/20/2021 | Claimant(s): Charles Fremont
Claimant Lawyers(s): Charles L. Fremont
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): James Richard Carlson, Susanne J. Hollander, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 19-02873 | 02/10/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): David Moxom
Respondent Lawyers(s): David Alan Moxom
Arbitrator(s): Mark A. Frankel
Hearing Site: Milwaukee, WI
| | |
| 18-02242 | 11/20/2019 | Claimant(s): Donna Hosking, Dorene Stoffels, James Stoffels
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Forest Securities.
Respondent Lawyers(s): Christopher Wurtzinger
Arbitrator(s): Michael F. Jordan, Leonard G Leverson, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | $121,746 |
| 17-01870 | 10/25/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Randyl Taber
Respondent Lawyers(s): Gail Boliver
Arbitrator(s): Robert J. Scafuri, Mark A. Frankel, Robert D Lawson
Hearing Site: Des Moines, IA
| | |
| 16-03241 | 08/20/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Jennifer L. Ciralsky
Respondent(s): Michael Kelly, Paul K Ramus, Todd Barden, Great Lakes Retirement Plan Consultants
Respondent Lawyers(s): Jennifer L. Ciralsky, Sean M. Sweeney
Arbitrator(s): Howard N. Rubin, Mark A. Frankel, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | |
