| 10-05207 | 08/30/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Michael Leake
Respondent Lawyers(s): Bryce H. Bennett
Arbitrator(s): James L. Karpen
Hearing Site: Detroit, MI
| | |
| 09-03910 | 08/15/2011 | Claimant(s): Dorothy Rapp, Seymour Rapp, Seymour L. Rapp Trust
Claimant Lawyers(s): Joel H. Kaufman
Respondent(s): Dominic Nieto, Morgan Stanley & Co.
Respondent Lawyers(s): August "Jamie" H. Schupp
Arbitrator(s): Anthony J. Bove, Lee Hornberger, Carl E. Ver Beek
Hearing Site: Detroit, MI
|  | $0 |
| 11-00944 | 08/12/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Gary Sargent
Respondent Lawyers(s): Stuart H. Deming
Arbitrator(s): Benjamin A. Kerner
Hearing Site: Detroit, MI
| | |
| 10-02482 | 08/09/2011 | Claimant(s): Renee VanAssche
Claimant Lawyers(s): Gregory R. Piche
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Eric S. Richards
Arbitrator(s): Mark Scarr, James Patrick Graven, Charles Brooks Begg
Hearing Site: Detroit, MI
| | |
| 10-01371 | 08/01/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Shane Springman, William Brennan
Respondent Lawyers(s): David M. Foster
Arbitrator(s): Stuart Sinai
Hearing Site: Detroit, MI
| | |
| 10-01921 | 07/12/2011 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Roland L. Olzark, Earlene R. Baggett-Hayes, Howard T.D. Spence
Hearing Site: Detroit, MI
| | |
| 10-05254 | 06/17/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Hugh Blake-Thomas III
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | |
| 09-00880 | 06/16/2011 | Claimant(s): Farideh Bagne
Claimant Lawyers(s): John A Hubbard
Respondent(s): David Dickman, Jack Csernits, Jacob Taylor, J.P. Morgan Securities, Michael Malone, Michael Riechenbach, JP Morgan Chase Bank, NA
Respondent Lawyers(s): Christopher M. Burky
Arbitrator(s): Edward M. Olson, Brace K. Case, Leonard G. Hendricks
Hearing Site: Detroit, MI
| | $0 |
| 10-02367 | 06/10/2011 | Claimant(s): Edmund Chrostowski
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): UBS Financial Services Inc., Philip Bocketti
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
| | $0 |
| 10-03151 | 06/07/2011 | Claimant(s): Hugh Gershon
Claimant Lawyers(s): Craig W. Horn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Stephen D Kursman, Lee Hornberger, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | $250,000 |
