| 18-01344 | 11/09/2018 | Claimant(s): Daniel Aiken
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
| | |
| 18-00700 | 10/31/2018 | Claimant(s): Kenneth Sorge
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American Beacon Partners.
Respondent Lawyers(s): Douglas A. Pavek
Arbitrator(s): Tracy L. Allen
Hearing Site: Milwaukee, WI
| | |
| 17-03144 | 10/18/2018 | Claimant(s): Lashel Lentz
Claimant Lawyers(s): Armin Sarabi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Charles Orlove
Hearing Site: Milwaukee, WI
| | |
| 17-02666 | 08/31/2018 | Claimant(s): James Steinbrenner
Claimant Lawyers(s): David A Genelly
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Rody P. Biggert, Bryan K. Nestor, Danielle Lea Carne
Hearing Site: Milwaukee, WI
| | |
| 17-03421 | 08/27/2018 | Claimant(s): Brian Behl
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Tracy L. Allen
Hearing Site: Milwaukee, WI
| | |
| 16-03241 | 08/20/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Jennifer L. Ciralsky
Respondent(s): Michael Kelly, Paul K Ramus, Todd Barden, Great Lakes Retirement Plan Consultants
Respondent Lawyers(s): Jennifer L. Ciralsky, Sean M. Sweeney
Arbitrator(s): Howard N. Rubin, Mark A. Frankel, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | |
| 17-00360 | 08/13/2018 | Claimant(s): Mary Shea, Patrick Shea
Claimant Lawyers(s): Adam Gana
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): Compliance Officer
Arbitrator(s): Tracy L. Allen, Michael S. Jordan, David E. Jarvis
Hearing Site: Milwaukee, WI
|  | $4,978,000 |
| 16-02506 | 07/12/2018 | Claimant(s): Sheldon & Judith Ferkey Revocable Trust
Claimant Lawyers(s): Michael Schaalman
Respondent(s): Judith Ferkey, TD Ameritrade Clearing., Sheldon Ferkey
Respondent Lawyers(s): Dana Sirkis Gloor, Michael Schaalman
Arbitrator(s): David J. Hase, Jonathan B. Gilbert, Susan L. Walker
Hearing Site: Milwaukee, WI
| | $0 |
| 15-03467 | 06/14/2018 | Claimant(s): James Schiller, Jean Schiller
Claimant Lawyers(s): Terrence Polich
Respondent(s): Morgan Stanley, Keith Bryan, Robert Frank
Respondent Lawyers(s): Jeremy S. Winer, Stephen L. Morgan
Arbitrator(s): P. J. Boylan, Susanne J. Hollander, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
| | Expungement |
| 16-03005 | 05/22/2018 | Claimant(s): Carrol Schiller
Claimant Lawyers(s): Terrence M. Polich
Respondent(s): Morgan Stanley, Keith Bryan, Robert Frank
Respondent Lawyers(s): Jeremy S. Winer, Stephen L. Morgan
Arbitrator(s): Tracy L. Allen
Hearing Site: Milwaukee, WI
| | Expungement |
