| 09-04066 | 09/07/2010 | Claimant(s): The Estate of John F. Mann
Claimant Lawyers(s): Charles D. Koehler
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Jerry D. Mc Cormack, Kevin J. Demet, Scott T. Silker
Hearing Site: Milwaukee, WI
|  | $0 |
| 09-05778 | 08/20/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): David Waro
Respondent Lawyers(s): David J. Hase
Arbitrator(s): John E. Sundeen, P. J. Boylan, Leon Fox
Hearing Site: Milwaukee, WI
| | |
| 09-04871 | 04/14/2010 | Claimant(s): Deming Fu, Rongli Gui
Claimant Lawyers(s): Rongli Gui
Respondent(s): Wells Fargo Advisors, James Hietpas
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Sheldon I. Saitlin
Hearing Site: Milwaukee, WI
| | $0 |
| 09-00785 | 02/10/2010 | Claimant(s): LaVerne VanDeWettering
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Stifel, Nicolaus & Co.., Ronald Wruck
Respondent Lawyers(s): Joseph C. Rosa
Arbitrator(s): Thomas F. Mahoney, Robert F. O'Keef, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | $0 |
| 08-02415 | 01/19/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Todd Funk
Respondent Lawyers(s): Sherry Coley
Arbitrator(s): Gregory G. Wille, Florence Z. Enders, Scott Stauffer
Hearing Site: Milwaukee, WI
| | |
| 08-04722 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): David Lehrer, Michael Patterson, Stephen Hird
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Milwaukee, WI
| | |
| 09-00022 | 10/05/2009 | Claimant(s): David Thompson
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Pavek Investments Inc.
Respondent Lawyers(s): Peter B. Shaeffer
Arbitrator(s): John E. Sundeen, John F Fennig, Leonard G. Leverson
Hearing Site: Milwaukee, WI
| | $0 |
| 05-05872 | 06/04/2009 | Claimant(s): Lloyd and Edith Kippley
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): First Republic Group
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Emanuel V. Gumina, James R. Schoenike, William B. Ross
Hearing Site: Milwaukee, WI
| | $134,504 |
| 06-03232 | 04/23/2009 | Claimant(s): Barbara Irsch
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): United Securities Alliance., WMA Securities.
Respondent Lawyers(s): Jeffrey J. Cannella, William H. McLean
Arbitrator(s): David J. Hase, Sharon A. Green, James Lewis Molloy
Hearing Site: Milwaukee, WI
| | $227,300 |
| 08-03082 | 04/02/2009 | Claimant(s): Steven Chilinski
Claimant Lawyers(s): Steven Chilinski
Respondent(s): TD Ameritrade., Patrick Rowley
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James B. Vessey
Hearing Site: Milwaukee, WI
| | $1,832 |
