| 17-03205 | 07/19/2018 | Claimant(s): David Garrison
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Andrea Shafer
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Kansas City, MO
| | |
| 16-02506 | 07/12/2018 | Claimant(s): Sheldon & Judith Ferkey Revocable Trust
Claimant Lawyers(s): Michael Schaalman
Respondent(s): Judith Ferkey, TD Ameritrade Clearing., Sheldon Ferkey
Respondent Lawyers(s): Dana Sirkis Gloor, Michael Schaalman
Arbitrator(s): David J. Hase, Jonathan B. Gilbert, Susan L. Walker
Hearing Site: Milwaukee, WI
|  | $0 |
| 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 |
| 17-02256 | 03/16/2018 | Claimant(s): Randall Larson
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Steve Cervantes
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: St. Louis, MO
| | |
| 16-00355 | 02/15/2017 | Claimant(s): Estate of Betty Ann Eckert, The Betty Ann Eckert Living Trust
Claimant Lawyers(s): Paul D. Vink
Respondent(s): Gregory Bennington, NFP Advisor Services, The Hartfield Company.
Respondent Lawyers(s): Company President, Gara M. Seagraves
Arbitrator(s): G. Donald Steel, Terry F. Peppard, Jonathan B. Gilbert
Hearing Site: Indianapolis, IN
| | $0 |
| 16-02431 | 01/30/2017 | Claimant(s): Thomas Freitag
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Milwaukee, WI
| | |
| 15-02270 | 08/24/2016 | Claimant(s): Douglas McConnell
Claimant Lawyers(s): Jerome F. Crotty
Respondent(s): McClendon, Morrison & Partners.
Respondent Lawyers(s): Patrick J. Keating
Arbitrator(s): Frank Samuelsohn, Jonathan B. Gilbert, Martin A. Duncan
Hearing Site: Chicago, IL
| | |
| 14-01238 | 01/26/2016 | Claimant(s): Beverly Houts, W. Houts, Geneva BCCX XI, Geneva BCCX XII
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Northland Securities.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Mark S. Gleason, Jonathan B. Gilbert, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | Expungement |
| 13-00888 | 06/20/2014 | Claimant(s): Trainor Trucking.
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | $0 |
| 12-03807 | 02/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeff Lesniewicz
Respondent Lawyers(s): Brian H. Sanchez
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | |
