| 15-00040 | 12/31/2015 | Claimant(s): Bruce Burns
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): Stephen C. Esposito, Michael Nathanson, Joseph John Novak
Hearing Site: Chicago, IL
|  | $0 |
| 15-00421 | 10/30/2015 | Claimant(s): Randall Adamowicz
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Anastasios Belesis, Basil Christakos, Don Torrillo, Francis Mitchell, Franz Lambert, Joseph Dimauro, Clark Dodge & Co..
Respondent Lawyers(s): Amal S. Amin, Anthony C. Varbero, Brian J. Davis, Francis G. Mitchell
Arbitrator(s): Stephen C. Esposito
Hearing Site: Milwaukee, WI
| | $0 |
| 14-02900 | 10/26/2015 | Claimant(s): Howard Eugene Rude
Claimant Lawyers(s): Randall Place
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Lawrence R. Commers, Stephen C. Esposito, Douglas J. Nesbit
Hearing Site: Des Moines, IA
| | Expungement |
| 13-01307 | 02/20/2014 | Claimant(s): Richard Hakanson
Claimant Lawyers(s): Erwin Cohn
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Stephen C. Esposito
Hearing Site: Chicago, IL
| | $0 |
| 08-03364 | 02/19/2014 | Claimant(s): David Abbott, James Abbott, Michael Abbott
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Charles Lane, RBC Capital Markets Corporation
Respondent Lawyers(s): Charles A. Lane, Ronald P. Kane
Arbitrator(s): Michael F. Jordan, Stephen C. Esposito, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $201,240 |
| 10-03899 | 01/17/2013 | Claimant(s): Jerry Jochims, Linda Govern, Rick Govern, Winton Boyd
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Co. Financial Services
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): Roger D. Johnson, Stephen C. Esposito, James H. Colburn
Hearing Site: Des Moines, IA
| | $0 |
| 11-02992 | 12/06/2012 | Claimant(s): Gary Glatz on behalf of his IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Butenuth, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Theodore W. Wrobleski, Stephen C. Esposito, Irving A. Chesler
Hearing Site: Chicago, IL
| | Expungement |
| 10-05040 | 11/17/2011 | Claimant(s): Florian Wisniewski, Marilyn Wisniewski
Claimant Lawyers(s): Banjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stephen C. Esposito
Hearing Site: Chicago, IL
| | Expungement |
| 09-03906 | 12/06/2010 | Claimant(s): Patsy Freeman, Patsy Freeman Investment Management Acco
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Stephen C. Esposito, William M. Lacy, Leonard J. Sullivan
Hearing Site: Nashville, TN
| | $0 |
| 09-03993 | 10/01/2010 | Claimant(s): David Sherman, David A.Sherman Liv Tr,
Claimant Lawyers(s): Harvey J. Barnett
Respondent(s): Sanford C. Bernstein & Co., Llc
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Stephen C. Esposito, Herbert S. Channick, David M. Fetter
Hearing Site: Chicago, IL
| | $600 |
