| 19-00086 | 08/29/2019 | Claimant(s): Gordon Bryan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick Christensen
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | |
| 18-02420 | 08/12/2019 | Claimant(s): Jill Morris
Claimant Lawyers(s): John L. Davis
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
|  | $125 |
| 17-02998 | 08/07/2019 | Claimant(s): Rande Somma and Georgia Somma
Claimant Lawyers(s): Robert M. Sosin
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Alan J. Taylor
Arbitrator(s): Martin Brosnan, Tracy L. Allen, O'Neal Oliver Wright
Hearing Site: Detroit, MI
| | Expungement |
| 17-00106 | 07/23/2019 | Claimant(s): Woebbeking Enterprises, Ltd.
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Antonio Costanzo
Respondent Lawyers(s): Antonio Costanzo
Arbitrator(s): Tracy L. Allen
Hearing Site: Des Moines, IA
| | $84,475 |
| 18-04334 | 07/18/2019 | Claimant(s): Adam Schwallier
Claimant Lawyers(s): Harris Freedman
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 17-02794 | 06/17/2019 | Claimant(s): Grace Meda
Claimant Lawyers(s): Terry M. Osgood
Respondent(s): Ernest Romer, Holly Maurer, Raymond Pett, Corecap Investments., P & R Capital LLC
Respondent Lawyers(s): Corporate President, Ernest Julius Romer, Raymond W. Henney, Steven Mellen
Arbitrator(s): Timothy J. Currier, Tracy L. Allen, JoAnn Marino
Hearing Site: Detroit, MI
| | Expungement |
| 18-03098 | 05/23/2019 | Claimant(s): James McLellan
Claimant Lawyers(s): Frances Menzer
Respondent(s): NewBridge Securities Corp., Broad Street Securities., Leonard & Company
Respondent Lawyers(s): Dainforth French, Gregg J. Breitbart, Stuart G. Burchard
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 18-01519 | 05/20/2019 | Claimant(s): Robert Brangle
Claimant Lawyers(s): Joan M. Swartz
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Anna M. Berman
Arbitrator(s): Leah Murray Albert, Tracy L. Allen, Julius Z. Frager
Hearing Site: St. Louis, MO
| | |
| 18-00483 | 01/17/2019 | Claimant(s): Andrew Perri
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 18-00261 | 10/31/2018 | Claimant(s): John Tyczynski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gleacher & Company Securities., Legg Mason Wood Walker
Respondent Lawyers(s): Annis Kwok, Rosemary Francavilla
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
| | |
