| 12-03460 | 04/24/2014 | Claimant(s): Wilma C. Lilley Trust
Claimant Lawyers(s): Charles T. Riehl
Respondent(s): Lewis Lilley, Raymond James Financial Services., Timothy Herling, Creative Wealth Management
Respondent Lawyers(s): Kelli Hartsook, Patrick Dichiro, The Company President
Arbitrator(s): Daniel G. Zeiser
Hearing Site: Cleveland, OH
|  | Expungement |
| 09-02880 | 03/21/2014 | Claimant(s): A. Tyslan, Gloria Tyslan, U/T/A Dated June 2, 1966, U/T/A Dated September 21, 1992
Claimant Lawyers(s): Stephen M. Ryan
Respondent(s): Raymond James Financial Services., Richard Bone, Harbor Financial Services, Viking Asset Management.
Respondent Lawyers(s): Kelli Hartsook, Steven E. Mellen, The Company President
Arbitrator(s): Barry Goldman, William C. Alsover, Ronald Marvin Rothstein
Hearing Site: Detroit, MI
| | $0 |
| 13-00613 | 11/08/2013 | Claimant(s): Charles Byrd, Dan DeSimoni, Dennis Owens, Doug Reinhart, Greg Stringer, Hammond Hunt, Henry Respess, Irvin Plowden, J. Turner Hunt, Massimo DeSimoni, Maxine Kelley, Michael DeSimoni, Paul Reinhart, Willard Hill, William Hunt, William "Will" Bunker
Claimant Lawyers(s): Scott F. Hessell
Respondent(s): Deutsche Bank Securities., David Parse, Raymond Brubaker, DB Alex. Brown LLC, Deutsche Bank AG
Respondent Lawyers(s): Allan N. Taffet, Keith E. Blackman, Kevin E. O'Reilly, Paul H. Schoeman, The Company President
Arbitrator(s): Joseph D. Vu, Marilee Roberg, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 09-01871 | 02/11/2011 | Claimant(s): Duane Stolpe, Sheila Stolpe, Stolpe Management, Duane Stolpe IRA, Stolpe Family Limited Partnership, Stolpe Charitable Remainder Unitrust
Claimant Lawyers(s): Michael Sutton MacDonald
Respondent(s): Anthony Salino, Lynn Schultz, Ron Ison, Roy Cohen, Mercer Asset Management., Mercer Capital Ltd., The Estate of Leonard Cleophas Demers
Respondent Lawyers(s): Brian Reis, Kelly W. Hoversten, The Company President
Arbitrator(s): John C. DeMoss, Grant D. Sanders, Robert D. Lawson
Hearing Site: Minneapolis, MN
| | $786,429 |
| 09-02420 | 12/02/2010 | Claimant(s): Michael Klatte, Klatte Golf Management., Klatte Golf Partnership, Michael A. Klatte Charitable Remainder U
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Anthony Salino, Lynn Schultz, RBC Dain Rauscher., Ron Ison, Roy Cohen, Mercer Asset Management., Mercer Capital Ltd., The Estate of Leonard Cleophas Demers
Respondent Lawyers(s): Anthony John Salino, Donald S. Arbour, Kelly W. Hoversten, Lynn G. Schultz, Lynn Gordon Schultz, Ron Jason Ison, Roy Cohen, The Company President
Arbitrator(s): Bruce J. Nerland, Thomas J. Gmeinder, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $2,839,290 |
| 09-05883 | 07/30/2010 | Claimant(s): Kevin Wagner, Martin Wagner, Sandra Wagner
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Maximum Financial Group.
Respondent Lawyers(s): The Company President
Arbitrator(s): Jeffry M. Bauer, Timothy J. Currier, Matthew Scott Brown
Hearing Site: Detroit, MI
| | $245,575 |
| 06-03551 | 08/17/2007 | Claimant(s): Amy Bakowski
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Broad Street Securities., Leonard & Company, McClellan Capital
Respondent Lawyers(s): David A. Sebastian, Stephen B. Wexler, The Company President
Arbitrator(s): Norman A. Samson, Mark Scarr, Lee Hornberger
Hearing Site: Detroit, MI
| | $0 |
