| 08-01652 | 05/06/2010 | Claimant(s): Mesirow Financial Holdings., Mesirow Financial Invesment Managment,, Mesirow Financial.
Claimant Lawyers(s): Scott Vold
Respondent(s): David Copeland, Neal Price, Strategic Wealth Partners
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Doris H. Geck, Richard J. Belmonte, Debra J. Tucker
Hearing Site: Chicago, IL
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| 08-03491 | 04/01/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): David Lee
Respondent(s): Bart Ellis
Respondent Lawyers(s): Michael E. Lavelle
Arbitrator(s): Jeffrey W. Finke, Elizabeth C. Burton, Elayne Morgan
Hearing Site: Chicago, IL
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| 08-03070 | 03/31/2010 | Claimant(s): Steven Esposito
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Erin E. Mac Avoy
Arbitrator(s): Theodore L. Leeb, Epaminondas Eddie Manelis, John C. Bierbusse
Hearing Site: Chicago, IL
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| 09-00251 | 01/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Chad Caros
Respondent Lawyers(s): Chad Caros
Arbitrator(s): Daniel C. Kriser, Daniel Baruch Lidawer, Joseph D. Savino
Hearing Site: Chicago, IL
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| 08-02295 | 01/05/2010 | Claimant(s): Thomas Engelhard
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Hartford Equity Sales Copany Inc.
Respondent Lawyers(s): Peter R. Bulmer
Arbitrator(s): Thomas F. Mahoney, Kenneth J. Good, Harvey R. Herman
Hearing Site: Chicago, IL
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| 09-01386 | 12/15/2009 | Claimant(s): Benjamin Rooks
Claimant Lawyers(s): Jeffrey Grant Brown
Respondent(s): William Blair & Company L.L.C.
Respondent Lawyers(s): Tobias E. Schlueter
Arbitrator(s): Sanford J. Prizant, Sondra Sellars, Irving S. Capitel
Hearing Site: Chicago, IL
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| 09-02554 | 11/20/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Don Steriovski
Respondent Lawyers(s): Don Steriovski
Arbitrator(s): Victor Elting
Hearing Site: Chicago, IL
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| 09-00550 | 11/11/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Stroup
Respondent Lawyers(s): William Clayton Stroup
Arbitrator(s): Frank F. Foys, Robert B. Schmidt, Suanne F. Goldman
Hearing Site: Chicago, IL
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| 08-04479 | 10/13/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Don Steriovski
Respondent Lawyers(s): Samuel G. Vazanellis
Arbitrator(s): Steven Samson, Joseph D. Savino, Suanne F. Goldman
Hearing Site: Chicago, IL
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| 08-04913 | 08/06/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Slowik
Respondent Lawyers(s): Robert J. Slowik
Arbitrator(s): Richard C. Moenning, A. Brad Busscher, Jack L. Karp
Hearing Site: Chicago, IL
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