| 19-00571 | 08/04/2021 | Claimant(s): Darla D. Ward, Lawrence J. Ward
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Cheryl Romann, Donald Waage, John Carlson, Steven Knuttila, Capital Financial Services.
Respondent Lawyers(s): Cheryl Lynn Romann, David A. Baugh, Donald Waage, Gordon Dihle, Steven R. Knuttila
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, Leo G. Stern
Hearing Site: Minneapolis, MN
|  | $939,300 |
| 20-01477 | 08/02/2021 | Claimant(s): JDSF Investments
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Kevin Perlberg, United Planners' Financial Services of A
Respondent Lawyers(s): David A. Baugh, Jonathan M. Sterling
Arbitrator(s): Jeffry M. Bauer, Gregory G. Wille, David E. Jarvis
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 19-01509 | 01/09/2020 | Claimant(s): Gale Penn, Robert Penn
Claimant Lawyers(s): Gary Menzer
Respondent(s): Anthony Hobson, Next Financial Group.
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): Mark L Miller, Steven M. Bierig, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
| 17-02272 | 04/11/2018 | Claimant(s): Jerome Nelson, Kathleen Nelson
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Packerland Brokerage Services., Triad Advisors.
Respondent Lawyers(s): David A. Baugh, Dennis C. Carter
Arbitrator(s): Jeffry M. Bauer, Jonathan B. Gilbert, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
| | $0 |
| 15-03072 | 07/27/2016 | Claimant(s): John Heraty IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): David Geake, Sagepoint Financial.
Respondent Lawyers(s): David A. Baugh, Jodi S. Tesser
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 12-01569 | 01/27/2014 | Claimant(s): Mary Neul, Estate of Milton Neul
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): John Watson, Securities America.
Respondent Lawyers(s): David A. Baugh, John E. Watson
Arbitrator(s): Mitchell Lee Marinello, Josette Belvedere, James A. Murphy
Hearing Site: Chicago, IL
| | Expungement |
| 12-00711 | 05/28/2013 | Claimant(s): Myron Murray, Rita Murray
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Gordon Yee
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): I. Douglas Dunipace, Thomas A. Peterson, Virginia H. Wertz
Hearing Site: Phoenix, AZ
| | $100,400 |
| 09-05681 | 12/23/2010 | Claimant(s): Beverly Coryn, Beverly Coryn IRAs
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Ogilvie Security Advisors Corporation
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): Randall S. Strause, Joseph V. Simeri, James A. Morrow
Hearing Site: Indianapolis, IN
| | $63,534 |
| 02-05828 | 08/18/2008 | Claimant(s): Larry Thompson
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kevin Grunawalt, Carillon Investments.
Respondent Lawyers(s): David A. Baugh, Gary M. Saretsky
Arbitrator(s): Patrick R. Sughroue, Joseph H. Mizzi, Lee Hornberger
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
