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FINRA Awards for David J. Hase

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0190012/17/2019Claimant(s): Bonnie Taylor
Claimant Lawyers(s): Bonnie June Taylor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Jerry D. McCormack, David J. Hase, Jessica Gibson
Hearing Site: Milwaukee, WI
Checkmark IconDismissed by Rule 12206/12504
17-0284111/29/2019Claimant(s): Debrah Oelke, Pamela Grether
Claimant Lawyers(s): Paul A. Lieberman
Respondent(s): Louis Lukic, UBS Financial Services Inc., Michael Kelly
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Terry F Peppard, David J. Hase, Matthew James Kearney
Hearing Site: Milwaukee, WI
18-0294205/16/2019Claimant(s): William Morse
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): B. C. Ziegler And Company
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): David J. Hase
Hearing Site: Milwaukee, WI
16-0250607/12/2018Claimant(s): Sheldon & Judith Ferkey Revocable Trust
Claimant Lawyers(s): Michael Schaalman
Respondent(s): Judith Ferkey, TD Ameritrade Clearing., Sheldon Ferkey
Respondent Lawyers(s): Dana Sirkis Gloor, Michael Schaalman
Arbitrator(s): David J. Hase, Jonathan B. Gilbert, Susan L. Walker
Hearing Site: Milwaukee, WI
Checkmark Icon$0
17-0063007/03/2018Claimant(s): Chris Schlatter
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Barry Kiront, Blake Kiernan, Stephen Kiront, Woodstock Financial Group.
Respondent Lawyers(s): Blake H. Kiernan, John E. Lawlor, Martin P. Unger
Arbitrator(s): Thomas F. Mahoney, David J. Hase, Mark A. Frankel
Hearing Site: Des Moines, IA
Checkmark Icon$105,000
17-0010409/11/2017Claimant(s): Robert Sells
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Dean Kajouras, John Lowry, Yvonne Owens, Spartan Capital Holdings, Spartan Capital Securities
Respondent Lawyers(s): David A. Schrader, John Stenson, Yvonne R. Owens
Arbitrator(s): David J. Hase
Hearing Site: Des Moines, IA
Checkmark Icon$600
16-0033605/17/2017Claimant(s): Kathy McKendry
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): TD Ameritrade Clearing., Kirk Spano, Bluemound Asset Management
Respondent Lawyers(s): Amanda Wright, Kirk Spano
Arbitrator(s): P. J. Boylan, David J. Hase, Philip J. Glick
Hearing Site: Milwaukee, WI
Checkmark IconStipulated Award
12-0110310/22/2013Claimant(s): Robert Fisher
Claimant Lawyers(s): Jeffrey J. Liotta
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): William M. Getzoff, David J. Hase, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
10-0379204/26/2012Claimant(s): Ashley Furniture Industries.
Claimant Lawyers(s): Jennifer A. Waters
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): Terry F. Peppard, David J. Hase, Victor A. Shier
Hearing Site: Milwaukee, WI
Checkmark Icon$1,900,000
10-0251707/08/2011Claimant(s): Robert Petrowski
Claimant Lawyers(s): Ian A.J. Pitz
Respondent(s): Amanda Gausewitz, Jon Goldstein, Kyle Kerkenbush
Respondent Lawyers(s): Richard M. Burnham
Arbitrator(s): Leonard G. Leverson, David J. Hase, James Richard Carlson
Hearing Site: Milwaukee, WI

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