| 09-03649 | 09/17/2010 | Claimant(s): Summit Oak
Claimant Lawyers(s): Ralph R. Safford
Respondent(s): Kenneth Jones, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Barry Goldman, Jennifer Ann Shandler, Paul Sislin
Hearing Site: Detroit, MI
|  | $0 |
| 09-03970 | 08/10/2010 | Claimant(s): Anthony Fortuna, Frances Fortuna
Claimant Lawyers(s): Eric S. Richards
Respondent(s): Wachovia Securities, Craig Herrington
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Kenneth Rochlen, Martin I. Reisig, Linda M. Foster-Wells
Hearing Site: Detroit, MI
| | $0 |
| 09-04872 | 08/09/2010 | Claimant(s): Harold Cannell
Claimant Lawyers(s): Harold Cannell
Respondent(s): Blake Pollock, David Kuhna, UBS Financial Services Inc.
Respondent Lawyers(s): John O. Murphy
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
| | Expungement |
| 09-05543 | 08/05/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Brent Haag
Respondent Lawyers(s): Brent Haag
Arbitrator(s): Raymond Wade Henney
Hearing Site: Detroit, MI
| | |
| 08-00612 | 08/05/2010 | Claimant(s): Donald Russsell, Donald W. Russell Living Trust
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Edward M. Olson, William C. Kubicz, Benjamin A. Kerner
Hearing Site: Detroit, MI
| | $243,000 |
| 07-03619 | 08/04/2010 | Claimant(s): Carolyn Sadowski, Michael Sadowski
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bruce F. Coleman, William P. Thorpe, Linda M. Foster-Wells
Hearing Site: Detroit, MI
| | $235,830 |
| 09-06730 | 08/04/2010 | Claimant(s): Peter Levine
Claimant Lawyers(s): R. Paul Vance
Respondent(s): Wachovia Securities.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Edward M. Olson
Hearing Site: Detroit, MI
| | $20,368 |
| 09-05883 | 07/30/2010 | Claimant(s): Kevin Wagner, Martin Wagner, Sandra Wagner
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Maximum Financial Group.
Respondent Lawyers(s): The Company President
Arbitrator(s): Jeffry M. Bauer, Timothy J. Currier, Matthew Scott Brown
Hearing Site: Detroit, MI
| | $245,575 |
| 09-01985 | 07/29/2010 | Claimant(s): Anthony Manaia
Claimant Lawyers(s): Anthony Gerard Manaia
Respondent(s): Royal Alliance Associates., United Securities Alliance.
Respondent Lawyers(s): Ambreen A. Delawalla, Michael Jones
Arbitrator(s): Jack J. Mazzara
Hearing Site: Detroit, MI
| | |
| 09-02619 | 07/22/2010 | Claimant(s): Matthew Weisberg
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): John R. Main, Harvey Frank, Patrick R. Sughroue
Hearing Site: Detroit, MI
| | |
