| 16-03532 | 01/26/2018 | Claimant(s): Renee Fields
Claimant Lawyers(s): John J. Miller
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Michael D. Fitzgerald, Philip J. Glick, Edward J. Lynch
Hearing Site: Kansas City, MO
| | |
| 17-01144 | 11/21/2017 | Claimant(s): Anthony Pecoraro
Claimant Lawyers(s): Ronald M Amato
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
| | |
| 17-00614 | 11/08/2017 | Claimant(s): Laurie Davis
Claimant Lawyers(s): Laurie B. Davis
Respondent(s): Albert Rosebush
Respondent Lawyers(s): Albert Lee Rosebush
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
|  | $0 |
| 16-03724 | 10/05/2017 | Claimant(s): Rick Konecny
Claimant Lawyers(s): Rick Douglas Konecny
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Renan Sugarman
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
| | |
| 16-00336 | 05/17/2017 | Claimant(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
| | Stipulated Award |
| 15-01073 | 03/23/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Nuviah Shirazi
Respondent(s): Mark Agre
Respondent Lawyers(s): Ross E. Webster
Arbitrator(s): M. W. Gear, Michael A. Rzewnicki, Philip J. Glick
Hearing Site: Kansas City, MO
| | |
| 15-02879 | 06/24/2016 | Claimant(s): Matthew Sherin
Claimant Lawyers(s): Christian M. Sande
Respondent(s): Woodbury Financial Services., Patrick O' Leary
Respondent Lawyers(s): John Rock, Ronald W. Sannicandro
Arbitrator(s): Philip J. Glick
Hearing Site: Minneapolis, MN
| | $300 |
| 14-03384 | 08/12/2015 | Claimant(s): Reliastar Life Insurance Company, Voya America Equities.
Claimant Lawyers(s): Hillard M. Sterling
Respondent(s): James Boldischar
Respondent Lawyers(s): Diana C. Taylor
Arbitrator(s): Philip J. Glick, G. Marshall Abbey, Alfonso Cobb
Hearing Site: Chicago, IL
| | |
| 12-03694 | 06/20/2014 | Claimant(s): Clara Lenz, Friedel Lenz
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kraig Mickelsen, Ausdal Financial Partners.
Respondent Lawyers(s): Gara Seagraves, Wendy S. Menghini
Arbitrator(s): Robert S. Sugarman, Philip J. Glick, Margaret Ann Angelucci
Hearing Site: Chicago, IL
| | Expungement |
| 12-01171 | 12/20/2013 | Claimant(s): Patricia Loberg, Paul Loberg
Claimant Lawyers(s): Robert A. Mathers
Respondent(s): Barry Pittman, John Thomas Financial
Respondent Lawyers(s): Barry V. Pittman, Company President
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
| | $132,000 |
