| 18-01457 | 11/01/2019 | Claimant(s): Elizabeth Jachles
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): John C. Aten, William Joseph Caprathe, Gary E Vickers
Hearing Site: Buffalo, NY
|  | $0 |
| 17-01786 | 09/26/2019 | Claimant(s): The Estate of Nancy Allan
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Seth M Erickson
Arbitrator(s): Terry F Peppard, Kevin J. Demet, William Joseph Caprathe
Hearing Site: Milwaukee, WI
| | $167,002 |
| 17-01838 | 04/30/2019 | Claimant(s): Joan Yurisich
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): Judith Villarreal, Raymond Pett, Corecap Investments.
Respondent Lawyers(s): Jessica E. Levine
Arbitrator(s): Raymond J. Sterling, Michele Renee Zinn, William Joseph Caprathe
Hearing Site: Detroit, MI
| | Expungement |
| 18-00211 | 04/11/2019 | Claimant(s): Cletus Gernes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Arthur Richard Tow, Susan M. Sanger, William Joseph Caprathe
Hearing Site: Minneapolis, MN
| | Expungement |
| 14-01700 | 03/28/2019 | Claimant(s): Scott Foster
Claimant Lawyers(s): Scott Foster
Respondent(s): Tina Gelmisi, Hantz Financial Services.
Respondent Lawyers(s): David J. Shea
Arbitrator(s): Mauricio Kohn, William Joseph Caprathe, John Wendell Allen
Hearing Site: Detroit, MI
| | $0 |
| 18-00490 | 08/16/2018 | Claimant(s): HD Vest Investment Services
Claimant Lawyers(s): Paul S. Magy
Respondent(s): Brian Royster
Respondent Lawyers(s): Brian Lamont Royster
Arbitrator(s): William Joseph Caprathe
Hearing Site: Detroit, MI
| | |
| 17-01710 | 06/28/2018 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ernest Romer, Judith Villarreal, Raymond Pett, Corecap Investments.
Respondent Lawyers(s): Ernest Julius Romer, Steven Mellen
Arbitrator(s): Raymond J. Sterling, Erane C. Washington-Kendrick, William Joseph Caprathe
Hearing Site: Detroit, MI
| | $57,500 |
| 16-02233 | 09/22/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Robert Anderson
Respondent Lawyers(s): Robert Anderson
Arbitrator(s): Sheldon Weinhaus, William Joseph Caprathe, John Anthony Tatom
Hearing Site: St. Louis, MO
| | |
| 16-01796 | 09/11/2017 | Claimant(s): Jason Woodruff
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Conni Mcewen, Erin Shaw, J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Robert David Epstein, John Andrew Wagner, William Joseph Caprathe
Hearing Site: Indianapolis, IN
| | |
| 16-00724 | 02/14/2017 | Claimant(s): Helen Mirling
Claimant Lawyers(s): David P. Meyer
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): D. Justin Gingerich
Arbitrator(s): Tracy L. Allen, John Anthony Simonetti, William Joseph Caprathe
Hearing Site: Cleveland, OH
| | $0 |
