| 20-04110 | 08/31/2022 | Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
|  | Expungement |
| 20-02259 | 02/09/2021 | Claimant(s): Kraig Mickelsen
Claimant Lawyers(s): David A. Genelly
Respondent(s): Ausdal Financial Partners.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 17-02061 | 05/16/2018 | Claimant(s): Paul Wong
Claimant Lawyers(s): David A. Genelly
Respondent(s): La Salle St. Securities, L.L.C.
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 15-00040 | 12/31/2015 | Claimant(s): Bruce Burns
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): Stephen C. Esposito, Michael Nathanson, Joseph John Novak
Hearing Site: Chicago, IL
| | $0 |
| 13-01058 | 04/29/2015 | Claimant(s): First Midstate Incorporated
Claimant Lawyers(s): David A. Genelly
Respondent(s): Stifel, Nicolaus & Co.., Kevin Heid
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Robert S. Sugarman, Susan L. Walker, Harvey R. Herman
Hearing Site: Chicago, IL
| | |
| 12-04085 | 10/24/2014 | Claimant(s): Norma Goldman
Claimant Lawyers(s): David J. Shea
Respondent(s): Michael Singer, La Salle St. Securities, L.L.C.
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): Robert J. Scafuri, James L. Karpen, William Joseph Caprathe
Hearing Site: Detroit, MI
| | Expungement |
| 09-00883 | 03/15/2013 | Claimant(s): John Beland and Elaine Beland, John Beland as TTEE of the Floyd and
Claimant Lawyers(s): David A. Genelly
Respondent(s): Ameriprise Financial Services., Ronald Miller
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Robert L. Agusto, Steven P. Gomberg, Michael I. White
Hearing Site: Chicago, IL
| | Expungement |
| 10-01865 | 11/24/2010 | Claimant(s): Royetta Birkhimer
Claimant Lawyers(s): Royetta Rule Birkhimer
Respondent(s): La Salle St. Securities, L.L.C., Wally Myers
Respondent Lawyers(s): David A. Genelly, Wally Myers
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | $0 |
| 09-00558 | 07/02/2010 | Claimant(s): Carl Noble, Sandra Noble
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Theodore Williams, Howe Barnes Hoefer & Arnett.
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): James D. Adducci, Louis M. Skydell, Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 08-02472 | 06/03/2009 | Claimant(s): Mary Lou Soldato
Claimant Lawyers(s): David A. Genelly
Respondent(s): Joseph Fabian, FSC Securities Corporation
Respondent Lawyers(s): Jon M. Bylsma, Samuel P. Mauch
Arbitrator(s): Raymond P. Buschmann, Theresa A Gillerlain, Matthew P. Hardy
Hearing Site: Chicago, IL
| | $115,225 |
