| 13-00103 | 04/25/2014 | Claimant(s): Roslyn Grodzin
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Sagepoint Financial., Ronald Smith
Respondent Lawyers(s): Courtney R. Reid, Ronald Smith
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
|  | $42,808 |
| 12-03607 | 12/17/2013 | Claimant(s): Martell Joint Revocable Living Trust
Claimant Lawyers(s): Sean M Sweeney
Respondent(s): B. C. Ziegler And Company
Respondent Lawyers(s): Matthew J. Flynn
Arbitrator(s): Thomas F. Mahoney, William B. Ross, Kevin J. Demet
Hearing Site: Milwaukee, WI
| | $311,000 |
| 12-03116 | 11/06/2013 | Claimant(s): Denise Hill
Claimant Lawyers(s): Gail E Boliver
Respondent(s): James Roberts, Ameritas Investment Corp.
Respondent Lawyers(s): David M. Williams, James Roberts
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Des Moines, IA
| | $37,200 |
| 11-00237 | 09/04/2012 | Claimant(s): Metropolitan Bank Group., NC Bancorp.
Claimant Lawyers(s): Benjamin D. Reichard
Respondent(s): Jack Whitaker, Suntrust Robinson Humphrey.
Respondent Lawyers(s): David L. Balser
Arbitrator(s): Thomas F. Mahoney, Susanne J. Hollander, G. Marshall Abbey
Hearing Site: Chicago, IL
| | Expungement |
| 10-03348 | 12/14/2011 | Claimant(s): Pruco Securities, Prudential Insurance Agency, The Purdential Insurance Co. of America
Claimant Lawyers(s): Stephen Castaldo
Respondent(s): Douglas Inlay
Respondent Lawyers(s): Douglas E. Inlay
Arbitrator(s): Thomas F. Mahoney, Lawrence R. Commers, Steven C. Despotovich
Hearing Site: Des Moines, IA
| | |
| 10-01040 | 04/25/2011 | Claimant(s): Demetrios Kamaris, Toni Kamaris
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Donald Whiteman, Charles F. Custer, Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $153,000 |
| 10-01367 | 11/02/2010 | Claimant(s): John Campanelli, Venus Campanelli
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Ameriprise Financial Services., Joseph Della Monica
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $5,213 |
| 09-00785 | 02/10/2010 | Claimant(s): LaVerne VanDeWettering
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Stifel, Nicolaus & Co.., Ronald Wruck
Respondent Lawyers(s): Joseph C. Rosa
Arbitrator(s): Thomas F. Mahoney, Robert F. O'Keef, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | $0 |
| 08-02295 | 01/05/2010 | Claimant(s): Thomas Engelhard
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Hartford Equity Sales Copany Inc.
Respondent Lawyers(s): Peter R. Bulmer
Arbitrator(s): Thomas F. Mahoney, Kenneth J. Good, Harvey R. Herman
Hearing Site: Chicago, IL
| | |
| 07-01847 | 02/02/2009 | Claimant(s): Lynn Mershon
Claimant Lawyers(s): David H. Correll
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Thomas F. Mahoney, Christopher Daniel Gryzen, Leo G. Stern
Hearing Site: Des Moines, IA
| | $300 |
