| 05-06113 | 02/11/2009 | Claimant(s): Ruth Slechta, Libor Slechta Trust UA DTD 3/25/96
Claimant Lawyers(s): Sandra J. Budnick
Respondent(s): Wachovia Securities, Dennis Yetter, Prudential Equity Group, Yetter & Yetter Investment Group
Respondent Lawyers(s): Brian Witus, Demian J. Betz
Arbitrator(s): Nancy R. Papo, John P. Gouttiere, Paul Sislin
Hearing Site: Detroit, MI
|  | $375 |
| 05-05474 | 01/23/2009 | Claimant(s): John Carpenter
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Royal Alliance Associates., Steven Muntin
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): George H. Zinn, Burton L. Ansell
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 08-00126 | 01/21/2009 | Claimant(s): David Baiocco, Kathleen Baiocco
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Adolph Tieppo, American Classic Financial Company
Respondent Lawyers(s): Anthony R. Paesano
Arbitrator(s): Jennifer Ann Shandler, William P. Thorpe, Paul Sislin
Hearing Site: Detroit, MI
| | $60,225 |
| 07-02308 | 01/15/2009 | Claimant(s): Suzette Roth
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Harold Magill, National Financial Services LLC, The Riderwood Group Incorporated
Respondent Lawyers(s): David M. Chromy, Michael G. Shannon, Neal Brickman
Arbitrator(s): Robert J. Scafuri, Walter L. Baumgardner, Lee Hornberger
Hearing Site: Detroit, MI
| | $550,000 |
| 07-02544 | 01/13/2009 | Claimant(s): Eleanor Taylor, IRA
Claimant Lawyers(s): David M. Foster
Respondent(s): Ameriprise Advisor Services., Michael Howe, Janney Montgomery Scott LLC
Respondent Lawyers(s): Donald P. Wray, Paula D. Shaffner
Arbitrator(s): Edward M. Olson, Keith J. Koerber, Harvey Frank
Hearing Site: Detroit, MI
| | $0 |
| 08-00700 | 01/05/2009 | Claimant(s): Harold Weisberg
Claimant Lawyers(s): Stewart C.W. Weiner
Respondent(s): Amy Renk, Gary Pryka, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | $7,300 |
| 08-01593 | 12/31/2008 | Claimant(s): Jeffrey Brown
Claimant Lawyers(s): Jeffrey D. Brown
Respondent(s): Chase Investment Services Corp., Lamon Jackson, Susan Vanspybrook
Respondent Lawyers(s): Sheila E. Carson
Arbitrator(s): William H. Morris
Hearing Site: Detroit, MI
| | $88 |
| 08-00060 | 12/30/2008 | Claimant(s): Jack Ommert
Claimant Lawyers(s): James P. Graven
Respondent(s): Eric Jansson, James Bottoms, Raymond James Financial Services., JFB Planning Services.
Respondent Lawyers(s): Erin Linehan, Gary A. Barnes, James F. Bottoms
Arbitrator(s): Robert A. Vogler, Benjamin A. Kerner, Mayra Adela Rodriguez
Hearing Site: Detroit, MI
| | $0 |
| 06-03243 | 12/23/2008 | Claimant(s): Planco Financial Services.
Claimant Lawyers(s): Mark T. Boonstra
Respondent(s): Sarah Habitz, Sean Ritchlin
Respondent Lawyers(s): Eric S. Richards
Arbitrator(s): Mark L. Kowalsky, Burton L. Ansell, William P. Thorpe
Hearing Site: Detroit, MI
| | |
| 07-02937 | 12/23/2008 | Claimant(s): Anat Cole, Steven Cole
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Barry Goldstein, Ryan Shaw, Gunnallen Financial.
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Michael D. Patterson, Elizabeth K. Bransdorfer, Thomas W. Lawson
Hearing Site: Detroit, MI
| | $35,000 |
