| 13-03106 | 10/23/2014 | Claimant(s): Rose M. Dodge
Claimant Lawyers(s): Rose M. Dodge
Respondent(s): Aron Martz
Respondent Lawyers(s): John Rock
Arbitrator(s): Terry F. Peppard
Hearing Site: Rapid City, SD
|  | $0 |
| 14-00808 | 10/03/2014 | Claimant(s): Thomas Strehl and Barbara Strehl
Claimant Lawyers(s): Richard E. Nell
Respondent(s): Daniel Balch, Woodbury Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | $9,600 |
| 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 |
| 13-00456 | 05/15/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Steven Meyer
Respondent Lawyers(s): Eric S. Richards
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Susan H. Schleisner
Hearing Site: Milwaukee, WI
| | |
| 13-00137 | 03/03/2014 | Claimant(s): Cheryl Christiansen
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Terry F. Peppard, Arthur Richard Tow, Verne R. Gray
Hearing Site: Des Moines, IA
| | Expungement |
| 11-03793 | 10/16/2013 | Claimant(s): Marise Engel, Richard Engel, Richard J. and Marise A. Engel
Claimant Lawyers(s): Richard Engel
Respondent(s): Brion Collins, Gary Tsoumas, Jack Kapinus, Todd Sivak, MML Investors Services
Respondent Lawyers(s): Beth A. Dodson, Fred N. Knopf, Patrick J. Lubenow, Ross A. Anderson
Arbitrator(s): Herbert H. Neuer, Terry F. Peppard, James Richard Carlson
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 |
| 10-03792 | 04/26/2012 | Claimant(s): Ashley Furniture Industries.
Claimant Lawyers(s): Jennifer A. Waters
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): Terry F. Peppard, David J. Hase, Victor A. Shier
Hearing Site: Milwaukee, WI
| | $1,900,000 |
| 10-04796 | 09/19/2011 | Claimant(s): Richard Wade
Claimant Lawyers(s): Charles R. Stone
Respondent(s): W&S Brokerage Services.
Respondent Lawyers(s): Daniel S. Jones
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | |
| 10-04376 | 08/04/2011 | Claimant(s): Jack Loew, Ruth Loew, Loew Revocable Trust
Claimant Lawyers(s): Mark E. Sanders
Respondent(s): John Norquay, Midamerica Financial Services., PivotPoint Advisors
Respondent Lawyers(s): Charles S. Genisio, John Norquay
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | $29,097 |
