| 11-04337 | 01/14/2013 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly Davis
Respondent(s): Joseph Gilleran
Respondent Lawyers(s): Joseph Santo Gilleran
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
| | |
| 10-04918 | 01/10/2013 | Claimant(s): Lehman Brothers Holdings Inc
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Joseph Boutross
Respondent Lawyers(s): Joseph Boutross
Arbitrator(s): Alan M. Wolper, Howard Z. Gopman, Allen D. Schwartz
Hearing Site: Chicago, IL
| | |
| 11-03896 | 01/02/2013 | Claimant(s): Steven Stroker
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Epaminondas Eddie Manelis, Robert Lewis Brown, Franklin Sariel Schwerin
Hearing Site: Chicago, IL
| | |
| 11-01910 | 12/05/2012 | Claimant(s): Dana Levenson
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Peter Ordower, Ann Breen-Greco, Brian E. Slotky
Hearing Site: Chicago, IL
| | |
| 11-03970 | 11/29/2012 | Claimant(s): Jian Yuan
Claimant Lawyers(s): Damon E. Dunn
Respondent(s): Daniel Tierney, Stephen Schuler, Blink Trading, GETCO Europe Limited, GETCO Holding Company, GETCO, Getco Securities, Lowtech Solutions, OCTEG
Respondent Lawyers(s): Bill Dugan
Arbitrator(s): Joseph D. Vu, Scott E. Rexroad, Jonah Orlofsky
Hearing Site: Chicago, IL
| | |
| 11-03951 | 11/28/2012 | Claimant(s): Steven Schneiderman
Claimant Lawyers(s): Gavin J. Fleming
Respondent(s): Burton Street, RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Donald W. McKenzie, Harry Edward Resis, Michael Cotter Greenfield
Hearing Site: Chicago, IL
| | |
| 12-00258 | 11/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): John Stanton
Respondent Lawyers(s): John Leslie Stanton
Arbitrator(s): Irving A. Chesler
Hearing Site: Chicago, IL
| | |
| 12-00205 | 11/15/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Brigden
Respondent Lawyers(s): William Scanlan Brigden
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | |
| 11-01145 | 10/31/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Frederick S. Schrils
Respondent(s): Robert Rowe
Respondent Lawyers(s): Glenn S. Gitomer
Arbitrator(s): Henry G. Nothnagel, Jeffrey W. Finke, Robert William Berliner
Hearing Site: Chicago, IL
| | |
| 12-01395 | 09/12/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I Sugarman
Respondent(s): Timothy Sennott
Respondent Lawyers(s): Timothy Madden Sennott
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | |
