| 18-04334 | 07/18/2019 | Claimant(s): Adam Schwallier
Claimant Lawyers(s): Harris Freedman
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 18-02945 | 06/27/2019 | Claimant(s): Douglas D. and Joan L. Start
Claimant Lawyers(s): Joan L. Start
Respondent(s): Thomas Oakes, Royal Securities Company
Respondent Lawyers(s): Thomas Cameron Oakes, Troy Ernzer
Arbitrator(s): Gerald W. Hepp
Hearing Site: Detroit, MI
|  | $70,000 |
| 18-02950 | 06/26/2019 | Claimant(s): Larry Kloth
Claimant Lawyers(s): Thomas P. Dillon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stephanie L. Sweitzer
Arbitrator(s): Gail K. Barski-McCracken, Gerald W. Hepp, Zachary William Behler
Hearing Site: Detroit, MI
| | $0 |
| 18-04260 | 06/21/2019 | Claimant(s): Lee Miller
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 17-02794 | 06/17/2019 | Claimant(s): Grace Meda
Claimant Lawyers(s): Terry M. Osgood
Respondent(s): Ernest Romer, Holly Maurer, Raymond Pett, Corecap Investments., P & R Capital LLC
Respondent Lawyers(s): Corporate President, Ernest Julius Romer, Raymond W. Henney, Steven Mellen
Arbitrator(s): Timothy J. Currier, Tracy L. Allen, JoAnn Marino
Hearing Site: Detroit, MI
| | Expungement |
| 19-00143 | 05/28/2019 | Claimant(s): Kenneth Volk
Claimant Lawyers(s): Mark Kowalsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin B. Sinclair
Arbitrator(s): Stephen D Kursman
Hearing Site: Detroit, MI
| | $15,300 |
| 18-03098 | 05/23/2019 | Claimant(s): James McLellan
Claimant Lawyers(s): Frances Menzer
Respondent(s): NewBridge Securities Corp., Broad Street Securities., Leonard & Company
Respondent Lawyers(s): Dainforth French, Gregg J. Breitbart, Stuart G. Burchard
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 18-01283 | 05/03/2019 | Claimant(s): Paul Bergholtz, Priscilla Bergholtz
Claimant Lawyers(s): Aaron Israels
Respondent(s): Judith Villarreal, Raymond Pett
Respondent Lawyers(s): Mohamed Awan, Raymond W. Henney
Arbitrator(s): Raymond J. Sterling, Barbara A. Johannessen, Kenneth Alan Roth
Hearing Site: Detroit, MI
| | Expungement |
| 18-00113 | 05/02/2019 | Claimant(s): Paul Doetsch
Claimant Lawyers(s): Walter L. Baumgardner
Respondent(s): Judith Villarreal, Raymond Pett
Respondent Lawyers(s): Mohamed Awan
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
| | Expungement |
| 17-01838 | 04/30/2019 | Claimant(s): Joan Yurisich
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): Judith Villarreal, Raymond Pett, Corecap Investments.
Respondent Lawyers(s): Jessica E. Levine
Arbitrator(s): Raymond J. Sterling, Michele Renee Zinn, William Joseph Caprathe
Hearing Site: Detroit, MI
| | Expungement |
