| 20-00454 | 06/22/2020 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): Rachel Heu
Respondent Lawyers(s): Rachel Heu
Arbitrator(s): Michael J. Meeusen
Hearing Site: Milwaukee, WI
|  | $0 |
| 19-01623 | 04/24/2020 | Claimant(s): Eric Raether
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Michael S. Matek
Hearing Site: Milwaukee, WI
| | |
| 19-02297 | 03/30/2020 | Claimant(s): Michael Kramer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): B. C. Ziegler And Company
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | |
| 19-02031 | 03/17/2020 | Claimant(s): Kurt Zipp
Claimant Lawyers(s): Kurt W. Zipp
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Milwaukee, WI
| | |
| 19-02873 | 02/10/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): David Moxom
Respondent Lawyers(s): David Alan Moxom
Arbitrator(s): Mark A. Frankel
Hearing Site: Milwaukee, WI
| | |
| 19-02636 | 01/13/2020 | Claimant(s): Sharon Loxton
Claimant Lawyers(s): Sharon P. Loxton
Respondent(s): Ameriprise Financial Services., John Lynch
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Michael S. Jordan
Hearing Site: Milwaukee, WI
| | $3,775 |
| 19-01900 | 12/17/2019 | Claimant(s): Bonnie Taylor
Claimant Lawyers(s): Bonnie June Taylor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Jerry D. McCormack, David J. Hase, Jessica Gibson
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206/12504 |
| 18-02012 | 12/05/2019 | Claimant(s): Mark Pent
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): P J Boylan, Stuart S. Mukamal, Bryan K. Nestor
Hearing Site: Milwaukee, WI
| | |
| 17-02841 | 11/29/2019 | Claimant(s): Debrah Oelke, Pamela Grether
Claimant Lawyers(s): Paul A. Lieberman
Respondent(s): Louis Lukic, UBS Financial Services Inc., Michael Kelly
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Terry F Peppard, David J. Hase, Matthew James Kearney
Hearing Site: Milwaukee, WI
| | |
| 18-02242 | 11/20/2019 | Claimant(s): Donna Hosking, Dorene Stoffels, James Stoffels
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Forest Securities.
Respondent Lawyers(s): Christopher Wurtzinger
Arbitrator(s): Michael F. Jordan, Leonard G Leverson, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | $121,746 |
