| 12-02776 | 09/25/2014 | Claimant(s): Jeffrey Gottlieb Living Trust
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): John F. Burns, Patrick R. Sughroue, Christopher R. Gullen
Hearing Site: Detroit, MI
|  | $0 |
| 12-00239 | 10/29/2013 | Claimant(s): Leonard Jarvis, Monica Jarvis, Leonard E. Jarvis Rollover IRA, Monica A. Jarvis Rollover IRA
Claimant Lawyers(s): Matthew W. Frank
Respondent(s): Adolph Tieppo, Florence Klein, Southwest Securities., American Classic Financial Company
Respondent Lawyers(s): Anthony R. Paesano, Florence Kein, Jonathan D. Neerman
Arbitrator(s): John F. Burns, James Patrick Graven, Thomas W. Lawson
Hearing Site: Detroit, MI
| | $50,000 |
| 11-00886 | 08/07/2013 | Claimant(s): Bryan Schon
Claimant Lawyers(s): Brian Witus
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Robert J. Scafuri, Joseph R. Papo, John F. Burns
Hearing Site: Detroit, MI
| | |
| 11-04653 | 06/11/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin MacAvoy
Respondent(s): Christopher Roumayeh
Respondent Lawyers(s): Christopher M. Roumayeh
Arbitrator(s): John F. Burns
Hearing Site: Detroit, MI
| | |
| 11-02059 | 05/21/2013 | Claimant(s): Peter R. Hanson and Martha H. Hanson
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Barry Goldman, John F. Burns, Thomas Anthony Van Tiem
Hearing Site: Detroit, MI
| | Expungement |
| 11-03217 | 08/17/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Michael Pompei
Respondent Lawyers(s): Michael Albert Pompei
Arbitrator(s): John F. Burns
Hearing Site: Detroit, MI
| | |
| 10-02802 | 02/03/2012 | Claimant(s): Carolynn Harmon, Robert Harmon
Claimant Lawyers(s): Carolyn Harmon
Respondent(s): Sandra Rayba, Scott Pionk, William Rice, Michigan Securities., Select Financial Group
Respondent Lawyers(s): Michael P. Marsalese, President of the Company, Scott D. Pionk
Arbitrator(s): Edward M. Olson, Diane Catherine Tietmeyer, John F. Burns
Hearing Site: Detroit, MI
| | $239,663 |
| 10-03400 | 01/13/2012 | Claimant(s): Douglas Mirabelli, Kristin Mirabelli
Claimant Lawyers(s): John J. Miller
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Larry C. Kreul, John F. Burns, Jacqueline R. Fox
Hearing Site: Detroit, MI
| | $1,239,000 |
| 09-03846 | 06/15/2010 | Claimant(s): Barbara Monroe, William Monroe, Christopher Griffith Monroe, William Henry Monroe, III, Barbara Susan Monroe IRA, William Henry Monroe IRA, Barbara & Henry Monroe, B. Susan Monroe Trust, Monroe Irrevocable Trust, William H. Monroe, II Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Hantz Financial Services.
Respondent Lawyers(s): Bradley J. Schram
Arbitrator(s): John F. Burns, Jennifer Ann Shandler, James L. Karpen
Hearing Site: Detroit, MI
| | $587,063 |
