| 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
| | |
| 14-00193 | 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 |
| 13-03279 | 03/18/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan D. Berg, Samuel P. Mauch
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Herbert S. Bratt
Hearing Site: Milwaukee, WI
| | |
| 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
| | |
| 12-03778 | 12/08/2014 | Claimant(s): Kimberly Bauers
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): Charles Schwab & Co.., Richard Rodriguez
Respondent Lawyers(s): Anthony Valenzuela
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | $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 |
| 11-04417 | 09/24/2014 | Claimant(s): James Engelbrecht
Claimant Lawyers(s): James M. Engelbrecht
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Michael S. Matek, Gregory G. Wille, Mark A. Frankel
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 |
| 11-02403 | 08/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Paul Westphal
Respondent Lawyers(s): Michael H. Schaalman
Arbitrator(s): Evonne A. Hurst, Donald V. Anderson, Charles Orlove
Hearing Site: Milwaukee, WI
| | |
| 13-00554 | 06/30/2014 | Claimant(s): Michael De Peaux
Claimant Lawyers(s): Thomas W. Pleasant
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Ralph M. Goren, Stanley H. Michelstetter, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | $0 |
