| 15-02479 | 12/23/2016 | Claimant(s): Landaas & Company
Claimant Lawyers(s): Ross A. Anderson
Respondent(s): Paul Coldagelli
Respondent Lawyers(s): Shepard A. Davis
Arbitrator(s): Terry F. Peppard, James Richard Carlson, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | |
| 16-01545 | 10/21/2016 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Brian Bischoff
Respondent Lawyers(s): Brian R. Bischoff
Arbitrator(s): Terry F. Peppard
Hearing Site: Indianapolis, IN
| | |
| 15-01145 | 08/10/2016 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Gerald Burns
Respondent(s): Christian Harkness
Respondent Lawyers(s): Stephen L. Morgan
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
| | |
| 15-02692 | 04/08/2016 | Claimant(s): Lary Bocquin
Claimant Lawyers(s): Lary J. Bocquin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory Scanlon
Arbitrator(s): Terry F. Peppard
Hearing Site: Rapid City, SD
|  | $425 |
| 15-00473 | 03/04/2016 | Claimant(s): Kim Stern
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Kevin R. McManaman
Arbitrator(s): Terry F. Peppard, Brett W. Olander, Verne R. Gray
Hearing Site: Des Moines, IA
| | $57,925 |
| 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 |
| 14-00383 | 09/22/2015 | Claimant(s): Donna Cramer, John Cramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Terry F. Peppard, Kevin D. Hofman, Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $58,563 |
| 14-03642 | 06/04/2015 | Claimant(s): Larry Bender
Claimant Lawyers(s): Larry G. Bender
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Terry F. Peppard
Hearing Site: Indianapolis, IN
| | $0 |
| 14-00573 | 05/19/2015 | Claimant(s): Kurt Koehler
Claimant Lawyers(s): Nathaniel Wolf
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Erin M. (Maggie) Cook
Arbitrator(s): David G. Skeen, Terry F. Peppard, Susan H. Schleisner
Hearing Site: Milwaukee, WI
| | |
| 14-01859 | 04/14/2015 | Claimant(s): Beverly Copeland, Fran Scowden
Claimant Lawyers(s): Matthew Dumas
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Terry F. Peppard
Hearing Site: Indianapolis, IN
| | $31,741 |
