| 16-02380 | 05/21/2018 | Claimant(s): Investacorp.
Claimant Lawyers(s): Michael A. Nagy
Respondent(s): Edward Klug
Respondent Lawyers(s): Edward Arthur Klug
Arbitrator(s): Barry Goldman, Ramona V. Larson, Gerald J. Thain
Hearing Site: Milwaukee, WI
| | |
| 14-00209 | 11/19/2015 | Claimant(s): James Hammes
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Terry F. Peppard, William B. Ross, Gerald J. Thain
Hearing Site: Milwaukee, WI
|  | Expungement |
| 14-00193 | 03/26/2015 | Claimant(s): James Gribble, Mary McCabe, Robert Gribble
Claimant Lawyers(s): Theodore J. Hodan
Respondent(s): Christine Gribble
Respondent Lawyers(s): Erin M. Strohbehn
Arbitrator(s): Stuart S. Mukamal, Gerald J. Thain, Donald Dreyfus
Hearing Site: Milwaukee, WI
| | $300,000 |
| 12-04033 | 01/30/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Thuli, Ellen Duhamel, Michael Shannon, Thomas Dornoff
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Gerald J. Thain
Hearing Site: Milwaukee, WI
| | |
| 13-00138 | 08/25/2014 | Claimant(s): Alberts Trust of 1997 Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Terry F. Peppard, James P. O'Donnell, Gerald J. Thain
Hearing Site: Milwaukee, WI
| | $195,000 |
| 13-00718 | 05/16/2014 | Claimant(s): Sud Family Limited Partnership
Claimant Lawyers(s): Mark Sanders
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Jerry D. Mc Cormack, Gerald J. Thain, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | Expungement |
| 08-04243 | 05/06/2011 | Claimant(s): Kenneth Willenson, Layton Property.
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Mark McCloskey, Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): Herbert H. Neuer, Robert F. O'Keef, Gerald J. Thain
Hearing Site: Milwaukee, WI
| | Stipulated Award and Expungement |
