| 10-03052 | 07/30/2012 | Claimant(s): Isabel Giacomantonio, Isabel Giacomantonio IRA, Isabel Giacomantonio Trust dtd 10/13/09
Claimant Lawyers(s): Joseph S. Spiegel
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Robert Morian
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Barry Goldman, Norman A. Samson, Benjamin A. Kerner
Hearing Site: Detroit, MI
|  | $49,500 |
| 11-02080 | 07/25/2012 | Claimant(s): Michael Steven Hall IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Wells Fargo Advisors, Walker Gillette
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Jacqueline R. Fox, Leonard R. Present, A. Robert Stevenson
Hearing Site: Detroit, MI
| | $0 |
| 11-00398 | 07/18/2012 | Claimant(s): Anthony Desantis
Claimant Lawyers(s): Mark T. Butler
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Jacqueline R. Fox, Dana R. Dawe, Michael George Kelly
Hearing Site: Detroit, MI
| | |
| 10-05301 | 07/16/2012 | Claimant(s): William Leathers
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Richard Scherer, Edward Jones
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): Robert J. Scafuri, John R. Main, James L. Karpen
Hearing Site: Detroit, MI
| | $0 |
| 11-01143 | 06/28/2012 | Claimant(s): Bernard Gross, Myra Gross
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): Kevin McCulloch, Morgan Stanley
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Stephen D. Arkwright, Mayra Adela Rodriguez, Seth H. Barsky
Hearing Site: Detroit, MI
| | Expungement |
| 11-01229 | 06/27/2012 | Claimant(s): David Yamamoto, Mary Yamamoto
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Elaine Sikorski, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | $150 |
| 11-00771 | 06/07/2012 | Claimant(s): Dorothy Wakley, James Wakely
Claimant Lawyers(s): David G. Lutz
Respondent(s): UBS Financial Services Inc., William Avery
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Marvin I. Horowitz, Jennifer Ann Shandler, Seth H. Barsky
Hearing Site: Detroit, MI
| | $0 |
| 10-02777 | 05/23/2012 | Claimant(s): Marilyn Szymkiw-Schrieber, Michael Schreiber, The Schrieiber Living Trust DTD 12/1/06
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Timothy J. Currier, Jacqueline R. Fox, Gregory M. Gendron
Hearing Site: Detroit, MI
| | $237,597 |
| 09-02555 | 05/18/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Peter Zeman
Respondent Lawyers(s): Peter Zeman
Arbitrator(s): Keith J. Koerber, Brace K. Case, Kenneth Rochlen
Hearing Site: Detroit, MI
| | |
| 10-05634 | 05/07/2012 | Claimant(s): Robert Barry, Robert E. Barry IRA
Claimant Lawyers(s): Robert E. Barry
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Mark L. Kowalsky, Patrick R. Sughroue, William P. Thorpe
Hearing Site: Detroit, MI
| | $0 |
