| 22-00700 | 08/24/2022 | Claimant(s): Randie Rowell
Claimant Lawyers(s): Sean Sweeney
Respondent(s): NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano
Arbitrator(s): Michael F. Jordan
Hearing Site: Milwaukee, WI
|  | $27,034 |
| 20-03079 | 08/17/2022 | Claimant(s): Andrew Hughes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Susanne J. Hollander, Charles Kahn, Jennifer Bruzas
Hearing Site: Milwaukee, WI
| | |
| 21-02813 | 08/15/2022 | Claimant(s): Shawn Longley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael F. Jordan
Hearing Site: Milwaukee, WI
| | |
| 21-00545 | 05/16/2022 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Kevin J. Demet
Hearing Site: Milwaukee, WI
| | $0 |
| 21-02392 | 03/14/2022 | Claimant(s): Bizhan Sheikholeslami
Claimant Lawyers(s): Bizhan Zia Sheikholeslami
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Terry F Peppard
Hearing Site: Milwaukee, WI
| | $163 |
| 21-01955 | 03/01/2022 | Claimant(s): Patricia Gremore
Claimant Lawyers(s): Patricia A. Gremore
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., A. G. Edwards & Sons., Wells Fargo Advisors Financial Network, Invesco Distributors.
Respondent Lawyers(s): Amanda Parisi, Anne Gerry, Jeffrey D. Rodgers
Arbitrator(s): Kevin J. Demet
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 20-02094 | 12/16/2021 | Claimant(s): William Barrett, William G. Barrett Roth IRA
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Ausdal Financial Partners., Sentinus-Halo Securities
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Tracy L. Allen, Sally J. Wiggins, Charles Kahn
Hearing Site: Milwaukee, WI
| | Expungement |
| 20-03126 | 11/18/2021 | Claimant(s): James Freund, IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leonard Arthur Nelson, Sally J. Wiggins, Maxwell Charles Livingston
Hearing Site: Milwaukee, WI
| | $0 |
| 18-03854 | 11/15/2021 | Claimant(s): Mary Shea, Patrick Shea
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): COR Clearing.
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Robert J. Scafuri, Michael J. Meeusen, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
| | $0 |
| 20-03005 | 10/13/2021 | Claimant(s): Andrew Burish
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
| | |
