| 08-02433 | 07/31/2009 | Claimant(s): Bevery Hills Bank & Trust Company, Wayne Hummer Investments LLC
Claimant Lawyers(s): Melvin G. Moseley
Respondent(s): Daniel Hack, Citigroup Global Markets., Mary Anderson, Marybeth Oconnor, Michelle Hughes, Patricia Marsh, Phillip Burno, Tracy Polselli
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Richard G Clemens, Joy Pava Shulruff, Rody P. Biggert
Hearing Site: Chicago, IL
| | Expungement |
| 08-04089 | 06/18/2009 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Chris Minor
Respondent Lawyers(s): Chris Minor
Arbitrator(s): Hyram A. Evans, Henry Kirke Cushing, Lisa A Randall-Haag
Hearing Site: Chicago, IL
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| 08-00263 | 06/08/2009 | Claimant(s): Lisa Ditkowsky
Claimant Lawyers(s): Kenneth Ditkowsky
Respondent(s): Alan Dubrow, David Forlow, Gary Chesin, Melissa Kelpsch, A.G. Edwards & Sons., Robert Batchen
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Wallace H. Hastings, Thomas S. Wallace, Leon Fox
Hearing Site: Chicago, IL
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| 08-00792 | 06/08/2009 | Claimant(s): John Ingels
Claimant Lawyers(s): John A. Dienner
Respondent(s): Margaret Adams, DWS Scudder Distributors.
Respondent Lawyers(s): William F. Dugan
Arbitrator(s): John N. Chapin, Lawrence Tepper, Robert B. Schmidt
Hearing Site: Chicago, IL
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| 08-00465 | 05/07/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Farley
Respondent Lawyers(s): Christopher B. Farley
Arbitrator(s): Donald Whiteman, Victor Elting, Jeffrey S. Fannon
Hearing Site: Chicago, IL
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| 08-03455 | 04/14/2009 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Richmond Ashley
Respondent Lawyers(s): Richmond A. Ashley
Arbitrator(s): Larry M. Dreyfus, Howard B. Silverman, Suanne F. Goldman
Hearing Site: Chicago, IL
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| 08-04115 | 04/14/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gary Shorter
Respondent Lawyers(s): Gary T. Shorter
Arbitrator(s): Victor Elting
Hearing Site: Chicago, IL
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| 08-00952 | 03/13/2009 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Jesse Brown
Respondent Lawyers(s): Jesse Booker Brown
Arbitrator(s): A. Brad Busscher, Howard B. Silverman, Jerome Arthur Connolly
Hearing Site: Chicago, IL
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| 07-03445 | 03/02/2009 | Claimant(s): Ralph Diaz
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Thomas Sargant, Theodore L. Leeb, Mitchell Lee Marinello
Hearing Site: Chicago, IL
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| 07-00366 | 02/11/2009 | Claimant(s): Griffin, Kubik, Stephens & Thompson
Claimant Lawyers(s): Steven P. Gomberg
Respondent(s): James Kubik, Jill Rottman, John Tofilon, Kent Atkinson, Morgan Stanley DW Inc., Maria Tornga
Respondent Lawyers(s): Christopher M. Burky, Howard B. Iwrey, Steven P. Gomberg
Arbitrator(s): Jerome F. Crotty, Robert J. Larson, Mitchell Lee Marinello
Hearing Site: Chicago, IL
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