| 15-03467 | 06/14/2018 | Claimant(s): James Schiller, Jean Schiller
Claimant Lawyers(s): Terrence Polich
Respondent(s): Morgan Stanley, Keith Bryan, Robert Frank
Respondent Lawyers(s): Jeremy S. Winer, Stephen L. Morgan
Arbitrator(s): P. J. Boylan, Susanne J. Hollander, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
|  | Expungement |
| 16-00336 | 05/17/2017 | Claimant(s): Kathy McKendry
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): TD Ameritrade Clearing., Kirk Spano, Bluemound Asset Management
Respondent Lawyers(s): Amanda Wright, Kirk Spano
Arbitrator(s): P. J. Boylan, David J. Hase, Philip J. Glick
Hearing Site: Milwaukee, WI
| | Stipulated Award |
| 10-03402 | 06/02/2014 | Claimant(s): Robert Schulte, Midwest Sales Inc.
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Morgan Wilshire Securities.
Respondent Lawyers(s): Robert I Rabinowitz
Arbitrator(s): P. J. Boylan
Hearing Site: Rapid City, SD
| | $0 |
| 11-00741 | 05/18/2012 | Claimant(s): Michael Mosesson
Claimant Lawyers(s): James A. McGurk
Respondent(s): Morgan Stanley, Cedar Creek Securities.
Respondent Lawyers(s): Gregory B. Simon, James A. McGurk
Arbitrator(s): Jerry D. Mc Cormack, P. J. Boylan, Deborah Jervis Fabritz
Hearing Site: Milwaukee, WI
| | $0 |
| 10-01534 | 11/07/2011 | Claimant(s): Connie Janousek
Claimant Lawyers(s): Richard L. Bolton
Respondent(s): Christopher Ayer, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): P. J. Boylan, Roy Clyde George, Gary L. Grolle
Hearing Site: Milwaukee, WI
| | $36,775 |
| 10-02369 | 06/24/2011 | Claimant(s): Dennis Soderstrum
Claimant Lawyers(s): Brenton D. Soderstrum
Respondent(s): Ronald Helland, Berthel, Fisher & Company
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): P. J. Boylan, Douglas A. Spier, Mark E. Schantz
Hearing Site: Des Moines, IA
| | $20,000 |
| 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
| | |
| 07-02834 | 04/15/2008 | Claimant(s): Robert R. and Delores J. Gehrking
Claimant Lawyers(s): Robert R. Gehrking
Respondent(s): Piper Jaffray & Co., William Pritchard
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): P. J. Boylan
Hearing Site: Milwaukee, WI
| | $213 |
