| 10-05114 | 09/26/2014 | Claimant(s): Mark Simon
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Ameriprise Financial Services., Larry Larson, Larson & Associates
Respondent Lawyers(s): Edward A. Walton, Miles D. Hart
Arbitrator(s): Jeffry M. Bauer, Harvey Frank, Anthony R. Paesano
Hearing Site: Detroit, MI
| | |
| 12-02776 | 09/25/2014 | Claimant(s): Jeffrey Gottlieb Living Trust
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): John F. Burns, Patrick R. Sughroue, Christopher R. Gullen
Hearing Site: Detroit, MI
|  | $0 |
| 14-01046 | 09/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Eric Ruth
Respondent Lawyers(s): Eric Martin Ruth
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | |
| 13-00189 | 09/02/2014 | Claimant(s): Sylvia Herrington
Claimant Lawyers(s): Benjamin P. Edwards
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Mark Scarr
Hearing Site: Detroit, MI
| | Expungement |
| 14-00254 | 08/26/2014 | Claimant(s): Francis Zimolzak
Claimant Lawyers(s): Francis Zimolzak
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | $25 |
| 12-02682 | 08/25/2014 | Claimant(s): Milton Secor
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Raymond Pett
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Barry Goldman, Charlene Johnson, William Joseph Caprathe
Hearing Site: Detroit, MI
| | Expungement |
| 13-02338 | 08/08/2014 | Claimant(s): Bruce Reynolds, Patricia Reynolds
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Louis Wright, Thomas Labeau, Wright Asset Management Group.
Respondent Lawyers(s): Anthony R. Paesano, Louis Albert Wright
Arbitrator(s): Robert J. Scafuri, Brace K. Case, Richard Joseph Rankin
Hearing Site: Detroit, MI
| | $276,000 |
| 13-01163 | 07/22/2014 | Claimant(s): The Delp Heritage Trust
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Kenneth J. Safran, Terrance J. Dorcy, Cyrus K. Motlagh
Hearing Site: Detroit, MI
| | $110,000 |
| 13-03283 | 07/02/2014 | Claimant(s): Serafina Maletti, Vito Maletti, Vito and Serafina Maletti Rev. Trust
Claimant Lawyers(s): Jonathan D. Sweik
Respondent(s): Giovanni Volpe, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Khalilah V. Spencer
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | $120 |
| 13-03072 | 06/30/2014 | Claimant(s): Kamal Pradhan
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Niyukt Bhasin, Rabinder Deshmukh, NSM Securities.
Respondent Lawyers(s): Joshua A. Katz, Niyukt Raghu Bhasin, Niyukt Bhasin
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Detroit, MI
| | Expungement |
