| 15-00860 | 09/03/2015 | Claimant(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
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| 15-00177 | 06/23/2015 | Claimant(s): Marquette Bank
Claimant Lawyers(s): William Hackney
Respondent(s): Jesse Zaragoza
Respondent Lawyers(s): Jesse Zaragoza
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
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| 13-03661 | 07/02/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): Kenneth Koger
Respondent Lawyers(s): Kenneth Ray Koger
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
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| 13-00583 | 05/16/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Ernest Newman
Respondent Lawyers(s): Thomas F. Asch
Arbitrator(s): Jeffrey W. Finke, Marilee Roberg, Gregory Allen Nie
Hearing Site: Chicago, IL
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| 12-01025 | 09/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Angela Keaveny
Respondent Lawyers(s): Angela Marie Keaveny
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
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| 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
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| 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
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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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| 11-02018 | 05/10/2012 | Claimant(s): Charles Echemuna
Claimant Lawyers(s): Charles Echeumuna
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Robert M. Little
Arbitrator(s): Peter Ordower, Jeffrey W. Finke, Robert J. Larson
Hearing Site: Chicago, IL
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| 11-00970 | 08/02/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Hegyan
Respondent Lawyers(s): Michael G. Hegyan
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
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