| 19-03458 | 05/15/2020 | Claimant(s): David Smith
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 19-00173 | 01/02/2020 | Claimant(s): Kathy Colby
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Dominion Investor Services.
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 19-00527 | 10/22/2019 | Claimant(s): Thomas Norris
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | |
| 18-04331 | 07/23/2019 | Claimant(s): Rex Stanczak
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Paul Schultz
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
| | |
| 18-04260 | 06/21/2019 | Claimant(s): Lee Miller
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 18-02265 | 02/08/2019 | Claimant(s): Michael Anderson
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 17-01676 | 03/30/2018 | Claimant(s): Scott Smith, Howard E. Smith, Jr. IRA, Jr. Trust U/A dtd 1993
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): John Findling, Raymond James Financial Services.
Respondent Lawyers(s): Adam Wenner
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
|  | $0 |
| 16-03342 | 02/23/2018 | Claimant(s): Karen Johnston
Claimant Lawyers(s): Aaron Israels
Respondent(s): Phillip Mekas, Thomas Brenner, First American Securities.
Respondent Lawyers(s): Booker T. Coleman, Joseph H. Spiegel, Thomas Brenner
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | Expungement |
| 17-00529 | 10/27/2017 | Claimant(s): Julia Smith, Julia R. Smith IRA, Julia R. Smith, Julian R. Smith Trust
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Wells Fargo Clearing Services, David Bry
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | Expungement |
| 15-00058 | 04/19/2017 | Claimant(s): Bethany Pagnani, Michael Rollins
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): James Furlong, Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs, Roger Trapp
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Timothy J. Currier, Patrick R. Sughroue, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
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