| 10-00026 | 10/12/2010 | Claimant(s): Paul Moore
Claimant Lawyers(s): Paul Moore
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
|  | $0 |
| 09-03649 | 09/17/2010 | Claimant(s): Summit Oak
Claimant Lawyers(s): Ralph R. Safford
Respondent(s): Kenneth Jones, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Barry Goldman, Jennifer Ann Shandler, Paul Sislin
Hearing Site: Detroit, MI
| | $0 |
| 09-03324 | 07/01/2010 | Claimant(s): Hal-Eleven Associates
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Barry Goldman, A. Robert Stevenson, Thomas W. Lawson
Hearing Site: Detroit, MI
| | $90,000 |
| 09-00482 | 05/24/2010 | Claimant(s): Joseph M. Fischer Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Barry Goldman, Richard C. Vanden Brul, Seth H. Barsky
Hearing Site: Detroit, MI
| | $0 |
| 09-03712 | 01/25/2010 | Claimant(s): Phyllis M. Osler IRA Account, Genevieve Davidson Living Trust, John S. Osler Living Trust, Phyllis M. Osler Living Trust
Claimant Lawyers(s): John Osler
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | $0 |
| 08-03237 | 10/20/2009 | Claimant(s): David Medina
Claimant Lawyers(s): Joni M Fixel
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Norman D. Hawkins
Arbitrator(s): Robert A. Vogler, Barry Goldman, John A. Cook
Hearing Site: Detroit, MI
| | |
| 08-03204 | 02/27/2009 | Claimant(s): Paul Randle, Morgan Randle & John Randle
Claimant Lawyers(s): Paul Randle
Respondent(s): Citigroup Global Markets., Howard Burnett
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | $25 |
| 06-01451 | 06/16/2008 | Claimant(s): Joseph Moceri, IRA, Judith Moceri, 401(K) and Profit Sharing Plan, Joseph Moceri Trust
Claimant Lawyers(s): Dean J. Groulx
Respondent(s): Kenneth BrandtL fka Linsco/Private Ledger Corp., Brandt, Kelly & Simmons Securities
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Marvin I. Horowitz, Barry Goldman, Anthony J. Bove
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 06-03220 | 01/17/2008 | Claimant(s): Maria Tsalis
Claimant Lawyers(s): Joseph A. Golden
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Robert M. Vercruysse
Arbitrator(s): Barry Goldman, Benjamin A. Kerner, Veronique M. Liem
Hearing Site: Detroit, MI
| | |
| 07-01805 | 10/25/2007 | Claimant(s): H.D. Vest Investment Securities.
Claimant Lawyers(s): Thomas F. Kopshever
Respondent(s): Charles Van Dyke, Van Dyke Family Trust
Respondent Lawyers(s): Charles R. Van Dyke
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | $0 |
