| 21-00452 | 10/08/2021 | Claimant(s): Darren Port
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Eric D. Martin
Arbitrator(s): Robert J. Scafuri
Hearing Site: Milwaukee, WI
| | |
| 19-01803 | 08/02/2021 | Claimant(s): Anna Creagh, Jon and Mary Anne Tegethoff, Richard and Karen Neuhengen, Anna Marie Creagh Revocable Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Genevieve Mar, Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Robert J. Scafuri, Stanley H. Michelstetter, Timothy Schoewe
Hearing Site: Milwaukee, WI
|  | $477,000 |
| 20-01477 | 08/02/2021 | Claimant(s): JDSF Investments
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Kevin Perlberg, United Planners' Financial Services of A
Respondent Lawyers(s): David A. Baugh, Jonathan M. Sterling
Arbitrator(s): Jeffry M. Bauer, Gregory G. Wille, David E. Jarvis
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 20-02000 | 07/22/2021 | Claimant(s): Glen Ringwall, Mark Manion
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | |
| 21-00039 | 07/07/2021 | Claimant(s): Richard Swider
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Casey Dougherty, CCO
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | |
| 20-02644 | 05/28/2021 | Claimant(s): Zachary Butler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan Hackbarth
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
| | |
| 20-03734 | 05/20/2021 | Claimant(s): Craig McFadden, Heidi Faber-McFadden, beneficiary, IRA FBO Craig W. McFadden
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Alexander A. Truitt
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Milwaukee, WI
| | $0 |
| 20-03792 | 05/20/2021 | Claimant(s): Charles Fremont
Claimant Lawyers(s): Charles L. Fremont
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): James Richard Carlson, Susanne J. Hollander, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 19-01849 | 05/06/2021 | Claimant(s): James Cox
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Daniel Soliman, Mario Divita, Traderfield Securities Inc.
Respondent Lawyers(s): Daniel M. Soliman, Mario Divita
Arbitrator(s): Barry Goldman
Hearing Site: Milwaukee, WI
| | Expungement |
| 20-03993 | 04/21/2021 | Claimant(s): Randall & Evann Richards Living Trust
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): David E. Jarvis
Hearing Site: Milwaukee, WI
| | $24,385 |
