20-01477 | 08/02/2021 | Claimant(s): JDSF Investments Claimant Lawyers(s): Thomas F. Burke Respondent(s): Kevin Perlberg, United Planners' Financial Services of A Respondent Lawyers(s): David A. Baugh, Jonathan M. Sterling Arbitrator(s): Jeffry M. Bauer, Gregory G. Wille, David E. Jarvis Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
20-03993 | 04/21/2021 | Claimant(s): Randall & Evann Richards Living Trust Claimant Lawyers(s): Sean M. Sweeney Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan W. Hackbarth Arbitrator(s): David E. Jarvis Hearing Site: Milwaukee, WI
| | $24,385 |
17-02660 | 08/30/2018 | Claimant(s): Jerrold Flatt Claimant Lawyers(s): Gail E. Boliver Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Robert J. Scafuri, Verne R. Gray, David E. Jarvis Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
17-00360 | 08/13/2018 | Claimant(s): Mary Shea, Patrick Shea Claimant Lawyers(s): Adam Gana Respondent(s): Windsor Street Capital Respondent Lawyers(s): Compliance Officer Arbitrator(s): Tracy L. Allen, Michael S. Jordan, David E. Jarvis Hearing Site: Milwaukee, WI
| | $4,978,000 |
16-01661 | 05/18/2017 | Claimant(s): James White, Janet White Claimant Lawyers(s): Mark E. Sanders Respondent(s): Craig Franzke, Optionshouse Respondent Lawyers(s): Craig Charles Franzke, Meredith F. Hoffman Arbitrator(s): Randall B. Gold, David E. Jarvis, Mark A. Frankel Hearing Site: Milwaukee, WI
| | $272,776 |
16-00375 | 04/01/2016 | Claimant(s): William Peel Claimant Lawyers(s): Sean Sweeney Respondent(s): Todd Shanholtzer Respondent Lawyers(s): Todd Alan Shanholtzer Arbitrator(s): David E. Jarvis Hearing Site: Milwaukee, WI
| | $0 |
10-01775 | 07/20/2012 | Claimant(s): Mary Larson Weber, Rhonda Larson, Scott Larson, Sue Kerans, Taylor Lord, Thomas Larson, Howard H. Larson Revocable Living Trust Claimant Lawyers(s): Sean M. Sweeney Respondent(s): Wells Fargo Advisors, Jay Weiland, Fiduciary Partners. Respondent Lawyers(s): Miriam G. Bahcall, Sean M. Sweeney Arbitrator(s): Terry F. Peppard, Jeffrey S. Fannon, David E. Jarvis Hearing Site: Milwaukee, WI
| | $227,750 |