| 18-01113 | 07/20/2018 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shawn Fabian
Respondent(s): Roberto Montano
Respondent Lawyers(s): Roberto Montano
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
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| 17-01201 | 03/16/2018 | Claimant(s): Alex Papadopoulos
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc., LaSalle Financial Services.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
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| 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
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| 11-01535 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Sean Rhodes
Respondent Lawyers(s): Sean Collin Rhodes
Arbitrator(s): Jeffrey W. Finke, Thomas F. Ryan, James A. Murphy
Hearing Site: Chicago, IL
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| 10-02906 | 12/12/2011 | Claimant(s): Scott Sutherland
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Dwight Badger, Keith Daubenspeck, Advanced Equities.
Respondent Lawyers(s): Amal S. Amin
Arbitrator(s): Sanford J. Prizant, Richard R. Bicek, James A. Murphy
Hearing Site: Chicago, IL
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| 07-02565 | 09/15/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Kret
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Carmen P. Michelotti, Gary D. Krueger, James A. Murphy
Hearing Site: Chicago, IL
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| 07-01321 | 11/16/2007 | Claimant(s): Harris Investor Services.
Claimant Lawyers(s): Cindy S. Stuyvesant
Respondent(s): Ryan Connelly, Steven Zimmerman
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Marc B. Horin, David G. Duggan, James A. Murphy
Hearing Site: Chicago, IL
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