| 10-02802 | 02/03/2012 | Claimant(s): Carolynn Harmon, Robert Harmon
Claimant Lawyers(s): Carolyn Harmon
Respondent(s): Sandra Rayba, Scott Pionk, William Rice, Michigan Securities., Select Financial Group
Respondent Lawyers(s): Michael P. Marsalese, President of the Company, Scott D. Pionk
Arbitrator(s): Edward M. Olson, Diane Catherine Tietmeyer, John F. Burns
Hearing Site: Detroit, MI
|  | $239,663 |
| 11-01679 | 01/18/2012 | Claimant(s): Kevin Fifield
Claimant Lawyers(s): Jon M. Bylsma
Respondent(s): Securities America.
Respondent Lawyers(s): Dennis J. Levasseur
Arbitrator(s): Patrick R. Sughroue, Leonard R. Present, Conrad W. Koski
Hearing Site: Detroit, MI
| | |
| 11-02860 | 01/18/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Bryan Foster
Respondent Lawyers(s): Bryan Scott Foster
Arbitrator(s): Edward M. Olson
Hearing Site: Detroit, MI
| | |
| 10-03400 | 01/13/2012 | Claimant(s): Douglas Mirabelli, Kristin Mirabelli
Claimant Lawyers(s): John J. Miller
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Larry C. Kreul, John F. Burns, Jacqueline R. Fox
Hearing Site: Detroit, MI
| | $1,239,000 |
| 11-00334 | 01/05/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Anthony Agbay
Respondent Lawyers(s): John A. Hubbard
Arbitrator(s): Benjamin A. Kerner, John P. Gouttiere, Patrick A. Guentner
Hearing Site: Detroit, MI
| | |
| 10-01674 | 12/27/2011 | Claimant(s): Harry Dines & Esther Dines TRS FBO, Harry Dines Revocable Living Trust
Claimant Lawyers(s): James R. Anderson
Respondent(s): TD Ameritrade., Warren Castor
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Matthew W. Schlegel, Terrance J. Dorcy, Patrick A. Guentner
Hearing Site: Detroit, MI
| | Expungement |
| 11-03193 | 12/21/2011 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P Mauch
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
| 10-05201 | 12/20/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Antonio Jefferson
Respondent Lawyers(s): Antonio Jefferson
Arbitrator(s): Edward M. Olson
Hearing Site: Detroit, MI
| | |
| 11-02118 | 12/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Aileen D'Agostino
Respondent Lawyers(s): Aileen D'Agostino
Arbitrator(s): Roman S. Gribbs
Hearing Site: Detroit, MI
| | |
| 11-01360 | 11/22/2011 | Claimant(s): Cheryl Horrigan-Happy
Claimant Lawyers(s): Fred H. Freeman
Respondent(s): Joseph Girardin, Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Edward M. Olson
Hearing Site: Detroit, MI
| | $163 |
