| 13-02544 | 07/12/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Rick Konecny
Respondent Lawyers(s): Rick Douglas Konecny
Arbitrator(s): Michael S. Matek, Michael F. Jordan, Craig D. Cook
Hearing Site: Chicago, IL
| | |
| 15-00186 | 07/12/2017 | Claimant(s): Jose Valencia
Claimant Lawyers(s): Glen R. Gaffney
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): William F. Dugan
Arbitrator(s): Thomas F. Mahoney, Eugene N. Halladay, Roger Keith MacDougall
Hearing Site: Chicago, IL
| | |
| 16-01208 | 04/27/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John F. Marsh
Respondent(s): J.P. Morgan Securities, Qamil Dervishi
Respondent Lawyers(s): Jeffrey B. Greenspan
Arbitrator(s): Michael F. Jordan, Howard Z. Gopman, Steven M. Bylina
Hearing Site: Chicago, IL
| | |
| 16-03124 | 04/10/2017 | Claimant(s): Leslie Goldstein
Claimant Lawyers(s): Lisa M. Serra
Respondent(s): Albert Clark
Respondent Lawyers(s): Albert F. Clark
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 16-02894 | 04/05/2017 | Claimant(s): Edward Camp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CFD Investments., Spectrum Investment Services.
Respondent Lawyers(s): Mary Lou Sanders, Matthew Bahrenburg
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | |
| 16-02843 | 03/20/2017 | Claimant(s): Bernard DelGiorno, Nicholas Lomaglio
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 16-03595 | 03/06/2017 | Claimant(s): Sean Moran
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 16-02906 | 01/31/2017 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher Manuel Rodriguez
Respondent(s): Patrick Phillips
Respondent Lawyers(s): Patrick Jermaine Phillips
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 16-00950 | 01/12/2017 | Claimant(s): Steven Kaplan
Claimant Lawyers(s): Steven Todd Kaplan
Respondent(s): Dave Gillogly
Respondent Lawyers(s): Dave Gillogly
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | Expungement |
| 16-01859 | 01/12/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Brian Sak
Respondent Lawyers(s): Brian Carey Sak
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
| | |
