| 13-00714 | 05/23/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Nancy Hendrickson
Respondent(s): Daniel Micha
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Mark L Miller, Donald V. Anderson, Richard H. Porter
Hearing Site: Milwaukee, WI
| | |
| 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 |
| 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
| | |
| 13-03446 | 05/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher Griesmeyer
Respondent(s): Todd Zaeske
Respondent Lawyers(s): Greeg Rzepczynski
Arbitrator(s): Donald W. McKenzie
Hearing Site: Milwaukee, WI
| | |
| 13-01269 | 05/02/2014 | Claimant(s): Patricia Wimmer
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): David Neilon, Allied Beacon Partners., American Beacon Partners., Beacon Acquisition Partners.
Respondent Lawyers(s): Debra A. Jenks, James Hintz, Robert P. Mather
Arbitrator(s): Jerry D. Mc Cormack, Sondra Sellars, Richard H. Porter
Hearing Site: Milwaukee, WI
| | $0 |
| 12-03294 | 04/11/2014 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Kadletz, First Allied Securities.
Respondent Lawyers(s): Gregory C. Ward, Willard R. Knox
Arbitrator(s): Herbert S. Bratt, Susan H. Schleisner, Kimberly Ann Powers
Hearing Site: Milwaukee, WI
| | |
| 13-03086 | 02/10/2014 | Claimant(s): Gilbert Schouten
Claimant Lawyers(s): Stacie H. Rosenzweig
Respondent(s): Robert Jakubiak, Timothy Stout
Respondent Lawyers(s): Robert Joseph Jakubiak, Timothy James Stout
Arbitrator(s): James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $91,142 |
| 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 |
| 13-00893 | 12/20/2013 | Claimant(s): John Lehman
Claimant Lawyers(s): John E. Lehman
Respondent(s): Jack Pankau, Patrick Read, ITG Derivatives LLC
Respondent Lawyers(s): Patrick Chi
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Milwaukee, WI
| | $0 |
| 12-03607 | 12/17/2013 | Claimant(s): Martell Joint Revocable Living Trust
Claimant Lawyers(s): Sean M Sweeney
Respondent(s): B. C. Ziegler And Company
Respondent Lawyers(s): Matthew J. Flynn
Arbitrator(s): Thomas F. Mahoney, William B. Ross, Kevin J. Demet
Hearing Site: Milwaukee, WI
| | $311,000 |
