| 17-00177 | 09/29/2017 | Claimant(s): Samuel Bennett
Claimant Lawyers(s): Owen Harnett
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): David S. Repking
Arbitrator(s): Terry F. Peppard
Hearing Site: Detroit, MI
| | |
| 16-03126 | 09/08/2017 | Claimant(s): David Boike
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Vestax Securities Corporation
Respondent Lawyers(s): David Smitham
Arbitrator(s): Gail K. Barski-McCracken
Hearing Site: Detroit, MI
| | |
| 17-00817 | 09/08/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Robert Christie
Respondent(s): Patrick Auckland
Respondent Lawyers(s): Patrick John Auckland
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
| 16-01776 | 08/28/2017 | Claimant(s): Roy Gruenburg
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): Anthony Mastroianni
Respondent Lawyers(s): Martin S. Siegel
Arbitrator(s): Barry Goldman, A. Robert Stevenson, Lisa Sue Fildes
Hearing Site: Detroit, MI
|  | $540,000 |
| 16-03478 | 08/10/2017 | Claimant(s): Andrew Schade
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Securities America.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): D. Michael Kratchman, Kenneth J. Safran, Erane C. Washington-Kendrick
Hearing Site: Detroit, MI
| | |
| 16-03341 | 07/03/2017 | Claimant(s): Steven Case
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation, Voya Financial Advisors.
Respondent Lawyers(s): Mark Sides, Scott R. Forbush
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
| 16-03214 | 05/17/2017 | Claimant(s): Daryl Debol
Claimant Lawyers(s): David R. Hudson
Respondent(s): George Case, Sharon Case
Respondent Lawyers(s): George Case, Sharon Case
Arbitrator(s): Jeffry M. Bauer, Patrick R. Sughroue, Ann Wilhelmina Kuppe
Hearing Site: Detroit, MI
| | Expungement |
| 15-03239 | 05/15/2017 | Claimant(s): Marjorie R. Brown Trust U/A/D 11/25/1997
Claimant Lawyers(s): Ralph J. Sirlin
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Jerry M. Santangelo
Arbitrator(s): Robert J. Scafuri, A. Robert Stevenson, Melissa B. VanDam
Hearing Site: Detroit, MI
| | $150,000 |
| 15-00058 | 04/19/2017 | Claimant(s): Bethany Pagnani, Michael Rollins
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): James Furlong, Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs, Roger Trapp
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Timothy J. Currier, Patrick R. Sughroue, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | |
| 16-02219 | 04/19/2017 | Claimant(s): Troy Johnson
Claimant Lawyers(s): Troy William Johnson
Respondent(s): Kathie Foreman, Samuel Foreman
Respondent Lawyers(s): Kathie Lee Foreman, Samuel Herbert Foreman
Arbitrator(s): Michael James Malone
Hearing Site: Detroit, MI
| | Expungement |
