| 09-03969 | 10/27/2011 | Claimant(s): Ronald Kief IRA, The Ronald Kief Trust Account, The Rosa Lynn Kief Family Trust
Claimant Lawyers(s): Paul L. Nine
Respondent(s): David Pappas, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Clarence L. Pozza
Arbitrator(s): James L. Karpen, Lee Hornberger, Pamela Mary Lindner
Hearing Site: Detroit, MI
|  | $0 |
| 09-03910 | 08/15/2011 | Claimant(s): Dorothy Rapp, Seymour Rapp, Seymour L. Rapp Trust
Claimant Lawyers(s): Joel H. Kaufman
Respondent(s): Dominic Nieto, Morgan Stanley & Co.
Respondent Lawyers(s): August "Jamie" H. Schupp
Arbitrator(s): Anthony J. Bove, Lee Hornberger, Carl E. Ver Beek
Hearing Site: Detroit, MI
| | $0 |
| 10-01130 | 08/05/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Vincent Ross
Respondent Lawyers(s): Vincent Ross
Arbitrator(s): Lee Hornberger, Justin Henry McCarthy, James G. Kirk
Hearing Site: Pittsburgh, PA
| | |
| 10-03151 | 06/07/2011 | Claimant(s): Hugh Gershon
Claimant Lawyers(s): Craig W. Horn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Stephen D Kursman, Lee Hornberger, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | $250,000 |
| 11-00406 | 05/18/2011 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Lauren Lezak
Respondent(s): Peter Bonnell
Respondent Lawyers(s): Peter Joseph Bonnell
Arbitrator(s): Lee Hornberger
Hearing Site: Cleveland, OH
| | |
| 10-00208 | 04/21/2011 | Claimant(s): Joann Kersten, Paulus Kersten
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): David Smolarek, Mutual Service Corporation
Respondent Lawyers(s): Daniel W. Rucker
Arbitrator(s): Diane Catherine Tietmeyer, Lee Hornberger
Hearing Site: Detroit, MI
| | Expungement |
| 09-04182 | 03/16/2011 | Claimant(s): Nina Howerton
Claimant Lawyers(s): Joni M. Fixel
Respondent(s): Chase Investment Services Corp., Mark Calabrese
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Jacqueline R. Fox, Lee Hornberger, Linda M. Foster-Wells
Hearing Site: Detroit, MI
| | |
| 10-00152 | 06/01/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): David Strand
Respondent Lawyers(s): David Strand
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
| 07-03554 | 03/31/2010 | Claimant(s): Gloria Amstrong
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein, GunnAllen Financial., Questar Capital Corporation
Respondent Lawyers(s): Frank J. Bluestein, Julie H. Firestone, Suzanne Walsh
Arbitrator(s): A. Robert Stevenson, Lee Hornberger, Anthony Allen Mogle
Hearing Site: Detroit, MI
| | $137,000 |
| 09-04432 | 02/04/2010 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Jeffrey Winter
Respondent Lawyers(s): Jeffrey Martin Winter
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
