| 13-00939 | 09/25/2013 | Claimant(s): Polly Knoll, SEP IRA
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Daniel Retzke, Edward D. Jones & Co., L.P.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Sheldon I. Saitlin
Hearing Site: Milwaukee, WI
|  | $19,600 |
| 11-01828 | 11/30/2011 | Claimant(s): Alejandro Velez
Claimant Lawyers(s): Alejandro Velez
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Sheldon I. Saitlin
Hearing Site: Ft. Lauderdale, FL
| | $163 |
| 08-02511 | 01/18/2011 | Claimant(s): Joseph Torsiello
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): AXA Advisors
Respondent Lawyers(s): Elliot R. Good
Arbitrator(s): Sheldon I. Saitlin, Ned B. Young, Charles R. Smith
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04871 | 04/14/2010 | Claimant(s): Deming Fu, Rongli Gui
Claimant Lawyers(s): Rongli Gui
Respondent(s): Wells Fargo Advisors, James Hietpas
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Sheldon I. Saitlin
Hearing Site: Milwaukee, WI
| | $0 |
| 06-05234 | 11/01/2007 | Claimant(s): Capital Growth Financial
Claimant Lawyers(s): Delmer C. Gowing
Respondent(s): Gregg Zadrozny
Respondent Lawyers(s): Gregg Thomas Zadrozny
Arbitrator(s): Sheldon I. Saitlin, David T. Adonailo, William James Russell
Hearing Site: Boca Raton, FL
| | |
| 06-02899 | 08/09/2007 | Claimant(s): Vincent Tribo
Claimant Lawyers(s): Helen B Bloch
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Stuart M. Widman, Sheldon I. Saitlin, Thomas E. Haviland
Hearing Site: Chicago, IL
| | $0 |
