| 15-02863 | 08/10/2017 | Claimant(s): Hilltop Securities Inc.
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Andrew Harvey, Brett Levinson, Carla Osbourne, Harvey Frank, Stifel, Nicolaus & Co.., Wyatt Farmer
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Thomas J. Doherty, Evan A. Gould, Ann Elizabeth DiGiorgio
Hearing Site: San Diego, CA
| | |
| 10-05114 | 09/26/2014 | Claimant(s): Mark Simon
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Ameriprise Financial Services., Larry Larson, Larson & Associates
Respondent Lawyers(s): Edward A. Walton, Miles D. Hart
Arbitrator(s): Jeffry M. Bauer, Harvey Frank, Anthony R. Paesano
Hearing Site: Detroit, MI
| | |
| 12-02272 | 06/21/2013 | Claimant(s): Judith S. Primak Trust u/a DTD 7/15/82
Claimant Lawyers(s): Jerry M. Santangelo
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Harvey Frank, Jack L. Somers, Melissa B. VanDam
Hearing Site: Detroit, MI
|  | $0 |
| 09-03947 | 03/28/2011 | Claimant(s): Joel Lagore
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): David Vallie, Citigroup Global Markets., Morgan Stanley, Morgan Stanley & Co., Terrence Andrysiak
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Harvey Frank, Mark Wietchy, William P. Thorpe
Hearing Site: Detroit, MI
| | |
| 09-02619 | 07/22/2010 | Claimant(s): Matthew Weisberg
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): John R. Main, Harvey Frank, Patrick R. Sughroue
Hearing Site: Detroit, MI
| | |
| 08-00032 | 04/09/2010 | Claimant(s): Bernard Cousino, June Cousino
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein, GunnAllen Financial., Questar Capital Corporation
Respondent Lawyers(s): Frank J. Bluestein, Julie H. Firestone, William J. Schifino
Arbitrator(s): Edward M. Olson, Harvey Frank, Bruce F. Coleman
Hearing Site: Detroit, MI
| | $123,050 |
| 09-01309 | 12/10/2009 | Claimant(s): Peter Lucido
Claimant Lawyers(s): Peter J. Lucido
Respondent(s): Oppenheimer & Co.., Mark Miriani
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Jeffry M. Bauer, Harvey Frank, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | $30,225 |
| 09-00905 | 11/18/2009 | Claimant(s): Richard Moffitt
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Adam Spero, Anthony Urrico, Investors Capital Corporation
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Harvey Frank, John P. Gouttiere, William C. Alsover
Hearing Site: Detroit, MI
| | $273,749 |
| 07-02544 | 01/13/2009 | Claimant(s): Eleanor Taylor, IRA
Claimant Lawyers(s): David M. Foster
Respondent(s): Ameriprise Advisor Services., Michael Howe, Janney Montgomery Scott LLC
Respondent Lawyers(s): Donald P. Wray, Paula D. Shaffner
Arbitrator(s): Edward M. Olson, Keith J. Koerber, Harvey Frank
Hearing Site: Detroit, MI
| | $0 |
| 06-05147 | 06/11/2008 | Claimant(s): Michael Guess
Claimant Lawyers(s): Richard M. Kerger
Respondent(s): Gerald "Gary" Sliemers, A.G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Harvey Frank, William P. Thorpe, Seth H. Barsky
Hearing Site: Detroit, MI
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