| 09-05778 | 08/20/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): David Waro
Respondent Lawyers(s): David J. Hase
Arbitrator(s): John E. Sundeen, P. J. Boylan, Leon Fox
Hearing Site: Milwaukee, WI
| | |
| 09-00022 | 10/05/2009 | Claimant(s): David Thompson
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Pavek Investments Inc.
Respondent Lawyers(s): Peter B. Shaeffer
Arbitrator(s): John E. Sundeen, John F Fennig, Leonard G. Leverson
Hearing Site: Milwaukee, WI
|  | $0 |
| 08-01574 | 03/20/2009 | Claimant(s): Patricia Turner
Claimant Lawyers(s): Jason M. Kueser
Respondent(s): Glenn Graepel, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): John E. Sundeen, Arthur F. Dewsberry, John R. Loss
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
| 04-03134 | 11/17/2008 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): CIBC World Markets Corp., Sami Daher
Respondent Lawyers(s): Joseph J. Sullivan, Sami N. Daher
Arbitrator(s): Steven Samson, John E. Sundeen, A. Brad Busscher
Hearing Site: Chicago, IL
| | |
| 06-02006 | 08/09/2007 | Claimant(s): Peter Connelly
Claimant Lawyers(s): Joe D. Jacobson
Respondent(s): Nathaniel Clay, Wayde Walker, Casimir Capital L.P.
Respondent Lawyers(s): Jordan M. Kam
Arbitrator(s): John E. Sundeen, Joseph D. Sheppard, Gregory B. Allen
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
