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FINRA Awards for Chicago, IL

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Displaying 241-250 out of 408 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0093403/08/2016Claimant(s): Jay Maltby
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Ray J. Grzebielski, James D. Adducci, Harry Edward Resis
Hearing Site: Chicago, IL
13-0038502/24/2016Claimant(s): Kevin Taalman
Claimant Lawyers(s): Lou Karnezis
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
14-0252902/23/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gary Torrey
Respondent Lawyers(s): Gary Torrey
Arbitrator(s): William M. Koziol
Hearing Site: Chicago, IL
14-0343202/05/2016Claimant(s): Jeffrey Howard
Claimant Lawyers(s): Hal J. Wood
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Steven D. Hurd
Arbitrator(s): Mitchell Lee Marinello, John M. Kramer, Susan L. Walker
Hearing Site: Chicago, IL
15-0051101/15/2016Claimant(s): Gregory Romanczuk
Claimant Lawyers(s): Gregory Romanczuk
Respondent(s): Joseph Baffoe, Richard Lynch, Chicago Investment Group
Respondent Lawyers(s): Joseph Martin Baffoe, Richard Paul Lynch, Richard Lynch, CEO
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
15-0034601/04/2016Claimant(s): Feltl and Company
Claimant Lawyers(s): Thomas F. Steichen
Respondent(s): Brian Czupek
Respondent Lawyers(s): Michael S. Davis
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
15-0017612/09/2015Claimant(s): Marquette Bank
Claimant Lawyers(s): William S. Hackney
Respondent(s): Laith Al-Tikriti
Respondent Lawyers(s): Laith Al-Tikriti
Arbitrator(s): John K. Notz
Hearing Site: Chicago, IL
15-0033911/23/2015Claimant(s): Investment Planners.
Claimant Lawyers(s): Renee Emrick
Respondent(s): Gordon Roberts
Respondent Lawyers(s): Matthew S. Hardin
Arbitrator(s): James J. Eccleston
Hearing Site: Chicago, IL
14-0081410/06/2015Claimant(s): Keith McGregory
Claimant Lawyers(s): Keith McGregory
Respondent(s): Bernard Beal, M. R. Beal & Company
Respondent Lawyers(s): Bernard B. Beal
Arbitrator(s): Peter Ordower, Suanne F. Goldman, Howard T. Goffen
Hearing Site: Chicago, IL
15-0086009/03/2015Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Taryn Olszewski
Respondent Lawyers(s): Taryn Lynn Olszewski
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL

408 Results

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