| 16-02380 | 05/21/2018 | Claimant(s): Investacorp.
Claimant Lawyers(s): Michael A. Nagy
Respondent(s): Edward Klug
Respondent Lawyers(s): Edward Arthur Klug
Arbitrator(s): Barry Goldman, Ramona V. Larson, Gerald J. Thain
Hearing Site: Milwaukee, WI
| | |
| 17-02652 | 05/21/2018 | Claimant(s): Andrew Seaborg
Claimant Lawyers(s): MIchael Bessett
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Susan L. Walker
Hearing Site: Milwaukee, WI
| | |
| 17-01662 | 04/27/2018 | Claimant(s): Todd Barden
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Cheryl Howard
Arbitrator(s): Gerald W. Hepp
Hearing Site: Milwaukee, WI
| | |
| 17-02272 | 04/11/2018 | Claimant(s): Jerome Nelson, Kathleen Nelson
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Packerland Brokerage Services., Triad Advisors.
Respondent Lawyers(s): David A. Baugh, Dennis C. Carter
Arbitrator(s): Jeffry M. Bauer, Jonathan B. Gilbert, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
|  | $0 |
| 16-02974 | 03/29/2018 | Claimant(s): Dolores Prohaska, Edward Prohaska
Claimant Lawyers(s): Michael H. Schaalman
Respondent(s): David Harris, Kevin Cline, Source Capital Group.
Respondent Lawyers(s): David W. Harris, David Harris, Travis Creed
Arbitrator(s): Robert J. Scafuri, Stanley H. Michelstetter, Susan H. Schleisner
Hearing Site: Milwaukee, WI
| | $300,000 |
| 17-01144 | 11/21/2017 | Claimant(s): Anthony Pecoraro
Claimant Lawyers(s): Ronald M Amato
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
| | |
| 16-01794 | 10/11/2017 | Claimant(s): Thomas Donohue
Claimant Lawyers(s): Thomas Donohue
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Stephen D Kursman
Hearing Site: Milwaukee, WI
| | Expungement |
| 16-01943 | 09/25/2017 | Claimant(s): Adam Ausloos
Claimant Lawyers(s): Adam Ausloos
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): Gregory G. Wille, Mark A. Frankel, Charles Craig Howard
Hearing Site: Milwaukee, WI
| | |
| 17-00319 | 09/21/2017 | Claimant(s): Mark Gierl
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Robert J. Scafuri
Hearing Site: Milwaukee, WI
| | |
| 16-01522 | 07/24/2017 | Claimant(s): Steve Boehm IRA
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): K.C. Ward Financial
Respondent Lawyers(s): Louis Ward
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | $11,610 |
