| 09-01728 | 03/16/2011 | Claimant(s): Thomas Redmond, Thomas A. Redmond Rev Liv Trust et al
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Oppenheimer & Co.., Joseph Eckrich
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Patrick R. Sughroue, Mark Scarr, Mark A. Cleland
Hearing Site: Detroit, MI
|  | $221,120 |
| 09-04037 | 03/08/2011 | Claimant(s): Louis Bortolussi, Luanne Schafer, Nina Bortolussi
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Ameriprise Financial Services., William Bynum
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert J. Scafuri, Joseph R. Papo, Michael James Malone
Hearing Site: Detroit, MI
| | $30,000 |
| 10-03357 | 03/07/2011 | Claimant(s): Saul Witenoff, The Saul Witenoff Revocable Trust
Claimant Lawyers(s): Stephen L Witenoff
Respondent(s): Wells Fargo Advisors, Sherwyn Labovitz
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | $23,893 |
| 10-03648 | 02/28/2011 | Claimant(s): Deanna M. Maher, Trustee of Deanna M. Ma
Claimant Lawyers(s): Deanna Mary Maher
Respondent(s): Daniel Hackett, Allstate Financial Services
Respondent Lawyers(s): Samantha Tesser Haimo
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | $255 |
| 10-01708 | 02/15/2011 | Claimant(s): Joseph Rich, Lenore Rich
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Dan Barish, Comerica Securities
Respondent Lawyers(s): Michael C. Simoni
Arbitrator(s): Michael J. Meeusen, Steven R. Briggs, Mayra Adela Rodriguez
Hearing Site: Detroit, MI
| | $0 |
| 10-03592 | 02/01/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Paul Gabriel
Respondent Lawyers(s): Paul Thomas Gabriel
Arbitrator(s): William M. Azkoul
Hearing Site: Detroit, MI
| | |
| 10-00210 | 01/14/2011 | Claimant(s): Paul Stanley
Claimant Lawyers(s): Marc A. Goldman
Respondent(s): Dennis Brown, Kimberly Liddell, Equitas America
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Peter S. Viviano, Kenneth J. Safran, Jonathan Edward Maire
Hearing Site: Detroit, MI
| | |
| 09-01613 | 12/14/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Joshua R. Pini
Respondent(s): Edward Walterhouse
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Howard Mark Klausmeier, Roman S. Gribbs, Phillip I. Levin
Hearing Site: Detroit, MI
| | |
| 09-05081 | 12/13/2010 | Claimant(s): Dennis L Adams (DECD) IRA,, Mary Kay Adams IRA, Mary Kay Adams Living Trust
Claimant Lawyers(s): James R Anderson
Respondent(s): Oppenheimer & Co.., Susan Rose
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Roland L. Olzark, Garrick A. Rollert, Ronald Marvin Rothstein
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 10-03011 | 12/07/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jim Van Dyke
Respondent(s): Nadim Mourad
Respondent Lawyers(s): Nadim Marwan Mourad
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
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