| 06-01451 | 06/16/2008 | Claimant(s): Joseph Moceri, IRA, Judith Moceri, 401(K) and Profit Sharing Plan, Joseph Moceri Trust
Claimant Lawyers(s): Dean J. Groulx
Respondent(s): Kenneth BrandtL fka Linsco/Private Ledger Corp., Brandt, Kelly & Simmons Securities
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Marvin I. Horowitz, Barry Goldman, Anthony J. Bove
Hearing Site: Detroit, MI
|  | Stipulated Award and Expungement |
| 06-05045 | 06/16/2008 | Claimant(s): Mary Lenzi, Timothy Lenzi
Claimant Lawyers(s): Shelley Stasson
Respondent(s): Christopher Dowd, Merrill Lynch, Merrill Lynch Life Agency.
Respondent Lawyers(s): Jeffrey T. Rogg
Arbitrator(s): Stewart C.W. Weiner, V. George Laktzian, Paul Sislin
Hearing Site: Detroit, MI
| | $0 |
| 06-05147 | 06/11/2008 | Claimant(s): Michael Guess
Claimant Lawyers(s): Richard M. Kerger
Respondent(s): Gerald "Gary" Sliemers, A.G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Harvey Frank, William P. Thorpe, Seth H. Barsky
Hearing Site: Detroit, MI
| | |
| 07-00878 | 06/11/2008 | Claimant(s): Kimberlee Johnson, William Capron
Claimant Lawyers(s): Kimberlee Johnson, William Capron
Respondent(s): James Carter, John McCloskey, A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Francis R. Ortiz, Kenneth J. Safran, Mark R Werder
Hearing Site: Detroit, MI
| | $0 |
| 07-03238 | 06/03/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Eric Johns
Respondent Lawyers(s): Eric Johns
Arbitrator(s): Kenneth J. Safran
Hearing Site: Detroit, MI
| | $0 |
| 07-01694 | 04/25/2008 | Claimant(s): Citizens Bank, IFMG Securities., IFS Agencies.
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Myra Roenicke
Respondent Lawyers(s): Sheetal Parikh
Arbitrator(s): Robert J. Scafuri, Eric S. Richards, Michael D. Patterson
Hearing Site: Detroit, MI
| | |
| 06-03445 | 04/08/2008 | Claimant(s): Schultz Investment Advisors Incorporat
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Douglas Plamondon, Randall Novotny, Roger Steensma, Scott Schultz, Hoffman, Steensma, and Plamondon, PLC, SPN Financial Services
Respondent Lawyers(s): Lawrence R. Gelber, Robert K. Ross
Arbitrator(s): Carole M. Crosby, Jack J. Mazzara, Martin Brosnan
Hearing Site: Detroit, MI
| | |
| 07-02138 | 03/26/2008 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Glenn Dzidowski
Respondent Lawyers(s): Glenn Dzidowski
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | $0 |
| 06-04423 | 03/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Simmers
Respondent Lawyers(s): David A. Sebastian
Arbitrator(s): Peter B. Kupelian, Gary C. Peters, Ann D. Kuhna
Hearing Site: Detroit, MI
| | |
| 05-02411 | 02/20/2008 | Claimant(s): Thomas Fitzgerald
Claimant Lawyers(s): J. Steven Parker
Respondent(s): Ameriprise Advisor Services., H & R Block.
Respondent Lawyers(s): Robert M. Vercruysse
Arbitrator(s): Dana R. Dawe, Martin I. Reisig, Mayra Adela Rodriguez
Hearing Site: Detroit, MI
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