| 23-00823 | 06/26/2024 | Claimant(s): Stephen Groth
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Susan H. Schleisner, Kevin J. Demet, Nathaniel Cade
Hearing Site: Milwaukee, WI
|  | $200,000 |
| 16-02974 | 03/29/2018 | Claimant(s): Dolores Prohaska, Edward Prohaska
Claimant Lawyers(s): Michael H. Schaalman
Respondent(s): David Harris, Kevin Cline, Source Capital Group.
Respondent Lawyers(s): David W. Harris, David Harris, Travis Creed
Arbitrator(s): Robert J. Scafuri, Stanley H. Michelstetter, Susan H. Schleisner
Hearing Site: Milwaukee, WI
| | $300,000 |
| 14-00573 | 05/19/2015 | Claimant(s): Kurt Koehler
Claimant Lawyers(s): Nathaniel Wolf
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Erin M. (Maggie) Cook
Arbitrator(s): David G. Skeen, Terry F. Peppard, Susan H. Schleisner
Hearing Site: Milwaukee, WI
| | |
| 13-00456 | 05/15/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Steven Meyer
Respondent Lawyers(s): Eric S. Richards
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Susan H. Schleisner
Hearing Site: Milwaukee, WI
| | |
| 12-03294 | 04/11/2014 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Kadletz, First Allied Securities.
Respondent Lawyers(s): Gregory C. Ward, Willard R. Knox
Arbitrator(s): Herbert S. Bratt, Susan H. Schleisner, Kimberly Ann Powers
Hearing Site: Milwaukee, WI
| | |
| 09-06233 | 09/16/2011 | Claimant(s): JPTDLM, L.P.
Claimant Lawyers(s): Jeffrey J. Liotta
Respondent(s): Oppenheimer & Co.., Jonathan Greene, Kyle Wool, Oppenheimer Asset Management Inc.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Susan H. Schleisner, Gary L. Grolle, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | Expungement |
| 10-01943 | 04/13/2011 | Claimant(s): David Lehrer
Claimant Lawyers(s): David Lehrer
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Brooke D. Anthony
Arbitrator(s): Terry F. Peppard, Susan H. Schleisner, Gary L. Grolle
Hearing Site: Milwaukee, WI
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