| 11-00193 | 01/10/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): John Mann, Thomas Mann
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Mary Beth Wheeler, William C. Alsover, William M. Azkoul
Hearing Site: Detroit, MI
| | |
| 12-01484 | 12/06/2013 | Claimant(s): Eilene York
Claimant Lawyers(s): Cynthia R. Levin Moulton
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Edward M. Olson, Patrick R. Sughroue, Michael J. Meeusen
Hearing Site: Detroit, MI
|  | $0 |
| 13-01969 | 12/04/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel Mauch
Respondent(s): Donald Rentz
Respondent Lawyers(s): Donald J. Rentz
Arbitrator(s): James L. Karpen
Hearing Site: Detroit, MI
| | |
| 12-02473 | 12/03/2013 | Claimant(s): Patricia Shaw, Patricia A. Shaw IRA
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Arthur Penna
Respondent Lawyers(s): Arthur James Penna
Arbitrator(s): Patrick R. Sughroue, Jack L. Somers, Jonathan Edward Maire
Hearing Site: Detroit, MI
| | $15,000 |
| 13-01898 | 11/22/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Paul Schultz
Respondent Lawyers(s): Paul Scott Schultz
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
| 13-00397 | 11/12/2013 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Craig A. Vollono
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | |
| 13-01235 | 11/12/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Steven Satter
Respondent(s): Mark Kelly
Respondent Lawyers(s): Jeffrey D. Plopa
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 12-01903 | 11/12/2013 | Claimant(s): Ruth Wayne
Claimant Lawyers(s): Christopher D. Kaye
Respondent(s): Keith Epstein
Respondent Lawyers(s): Keith L. Epstein
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
| | $5,453,190 |
| 11-03013 | 11/11/2013 | Claimant(s): Auto City Clark., Auto City Service, Fowlerville Exit Shell Service.
Claimant Lawyers(s): Tom Caldwell
Respondent(s): David Maksymetz, J.P. Morgan Securities, John Bueno, Nicole Moten
Respondent Lawyers(s): Adam D. Grant
Arbitrator(s): Stuart Sinai, Patrick R. Sughroue, Stephen D Kursman
Hearing Site: Detroit, MI
| | $1,972,300 |
| 12-00239 | 10/29/2013 | Claimant(s): Leonard Jarvis, Monica Jarvis, Leonard E. Jarvis Rollover IRA, Monica A. Jarvis Rollover IRA
Claimant Lawyers(s): Matthew W. Frank
Respondent(s): Adolph Tieppo, Florence Klein, Southwest Securities., American Classic Financial Company
Respondent Lawyers(s): Anthony R. Paesano, Florence Kein, Jonathan D. Neerman
Arbitrator(s): John F. Burns, James Patrick Graven, Thomas W. Lawson
Hearing Site: Detroit, MI
| | $50,000 |
