| 11-03187 | 03/14/2012 | Claimant(s): Treichel Joint Revocable Trust
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Theodore L. Leeb
Hearing Site: Milwaukee, WI
|  | $46,972 |
| 10-04402 | 02/09/2012 | Claimant(s): Robert Reitman
Claimant Lawyers(s): Paul R. Erickson
Respondent(s): Christopher Calvelli, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Gregory G. Wille
Arbitrator(s): Emanuel V. Gumina, Allen D. Schwartz, Fredric R. Dichter
Hearing Site: Milwaukee, WI
| | $75,332 |
| 10-01534 | 11/07/2011 | Claimant(s): Connie Janousek
Claimant Lawyers(s): Richard L. Bolton
Respondent(s): Christopher Ayer, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): P. J. Boylan, Roy Clyde George, Gary L. Grolle
Hearing Site: Milwaukee, WI
| | $36,775 |
| 10-03672 | 11/03/2011 | Claimant(s): Dale Scholl
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Gregory G. Wille, James P. O'Donnell, Richard H. Porter
Hearing Site: Milwaukee, WI
| | Expungement |
| 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
| | |
| 09-00241 | 09/19/2011 | Claimant(s): Gerald Dassow, Gerald and Mary Dassow, Anthony Dassow Trust, Geral and Mary Dassow Trust, Michelle Dassow Trust, Thomas Dassow Trust, Timothy Dassow Trust
Claimant Lawyers(s): Michael H. Schaalman
Respondent(s): Dan Camphausen, Advanced Equities Inc.
Respondent Lawyers(s): Douglas M. Ramsey, Paul J. Sussman
Arbitrator(s): Robert F. O'Keef, James P. O'Donnell, Donald E. Sorensen
Hearing Site: Milwaukee, WI
| | $180,000 |
| 09-06233 | 09/16/2011 | Claimant(s): JPTDLM, L.P.
Claimant Lawyers(s): Jeffrey J. Liotta
Respondent(s): Oppenheimer & Co.., Jonathan Greene, Kyle Wool, Oppenheimer Asset Management Inc.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Susan H. Schleisner, Gary L. Grolle, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | Expungement |
| 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 |
| 10-02517 | 07/08/2011 | Claimant(s): Robert Petrowski
Claimant Lawyers(s): Ian A.J. Pitz
Respondent(s): Amanda Gausewitz, Jon Goldstein, Kyle Kerkenbush
Respondent Lawyers(s): Richard M. Burnham
Arbitrator(s): Leonard G. Leverson, David J. Hase, James Richard Carlson
Hearing Site: Milwaukee, WI
| | |
| 10-04211 | 06/27/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Terri Evans
Respondent Lawyers(s): Terri Jo Evans
Arbitrator(s): Gary L. Grolle
Hearing Site: Milwaukee, WI
| | |
