| 12-00691 | 11/10/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Bradley Lott
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Patrick R. Sughroue, James L. Karpen, William C. Alsover
Hearing Site: Detroit, MI
| | |
| 10-03968 | 08/07/2015 | Claimant(s): Renata Charfoos, Renata J. Charfoos Rev. Living Trust
Claimant Lawyers(s): Christopher D. Pixley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lawrence E. Fenster
Arbitrator(s): Corby A. Kiss, James L. Karpen, Jack L. Somers
Hearing Site: Detroit, MI
|  | Expungement |
| 13-00061 | 03/30/2015 | Claimant(s): Louis Helder
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Charles Anderson, Wells Fargo Advisors
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): John F. Burns, James L. Karpen, Richard Edward Rassel
Hearing Site: Detroit, MI
| | Expungement |
| 12-04085 | 10/24/2014 | Claimant(s): Norma Goldman
Claimant Lawyers(s): David J. Shea
Respondent(s): Michael Singer, La Salle St. Securities, L.L.C.
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): Robert J. Scafuri, James L. Karpen, William Joseph Caprathe
Hearing Site: Detroit, MI
| | Expungement |
| 12-02355 | 09/27/2013 | Claimant(s): Chantel Hopping, Tom Hopping
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Morgan Stanley, Richard Bowling
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): James L. Karpen, George E. White, Stephen D Kursman
Hearing Site: Detroit, MI
| | Expungement |
| 11-00664 | 12/03/2012 | Claimant(s): Zelda Gechter
Claimant Lawyers(s): Zelda Gechter
Respondent(s): Citigroup Global Markets., Morgan Stanley, Richard Ress
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Steven R. Briggs, James L. Karpen, Stephen D Kursman
Hearing Site: Detroit, MI
| | $0 |
| 10-05301 | 07/16/2012 | Claimant(s): William Leathers
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Richard Scherer, Edward Jones
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): Robert J. Scafuri, John R. Main, James L. Karpen
Hearing Site: Detroit, MI
| | $0 |
| 09-03969 | 10/27/2011 | Claimant(s): Ronald Kief IRA, The Ronald Kief Trust Account, The Rosa Lynn Kief Family Trust
Claimant Lawyers(s): Paul L. Nine
Respondent(s): David Pappas, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Clarence L. Pozza
Arbitrator(s): James L. Karpen, Lee Hornberger, Pamela Mary Lindner
Hearing Site: Detroit, MI
| | $0 |
| 09-03574 | 11/15/2010 | Claimant(s): Larry Garon, Lori Garon
Claimant Lawyers(s): Gavin J. Fleming
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Marvin I. Horowitz, Corby A. Kiss, James L. Karpen
Hearing Site: Detroit, MI
| | $0 |
| 10-00761 | 11/01/2010 | Claimant(s): Keith Brodkorb
Claimant Lawyers(s): Meghan W. Cassidy
Respondent(s): Joseph Kelly, Prudential Securities
Respondent Lawyers(s): Brian Witus
Arbitrator(s): Robert J. Scafuri, James L. Karpen, Ann W. Hartmann
Hearing Site: Detroit, MI
| | $0 |
