| 16-01564 | 06/26/2017 | Claimant(s): Daniel Oleary, Jennifer Oleary, Patrick Oleary, Sandra Oleary
Claimant Lawyers(s): Daniel Gwertzman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Renan I. Sugarman
Arbitrator(s): Mark L Miller, Robert S. Sugarman, Raymond P. Buschmann
Hearing Site: Chicago, IL
|  | $0 |
| 12-02967 | 07/22/2016 | Claimant(s): Edward Heil, Vincent Incopero
Claimant Lawyers(s): Vincent J. Incopero
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Theodore W. Wrobleski, Mark L Miller, Robert J. Albers
Hearing Site: Chicago, IL
| | Expungement |
| 14-03379 | 06/01/2016 | Claimant(s): Larry Kattman
Claimant Lawyers(s): Louise J. Kattman
Respondent(s): Wells Fargo Advisors, Michael Lundin
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Mark L Miller, Sherrill Wm Colvin, Todd Machowiak
Hearing Site: Indianapolis, IN
| | Expungement |
| 15-02272 | 05/03/2016 | Claimant(s): Joseph Schirtzinger
Claimant Lawyers(s): Joseph M. Schirtzinger
Respondent(s): Putnam Retail Management Limited Partner
Respondent Lawyers(s): Kenneth Ashton
Arbitrator(s): Mark L Miller, Dale A. Crawford, Anthony Cipiti
Hearing Site: Columbus, OH
| | $0 |
| 13-03342 | 12/17/2015 | Claimant(s): Patricia L. Micucci, Vincent A. Micucci
Claimant Lawyers(s): Gregg Rzepczynski
Respondent(s): Michael McCarthy
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Mark L Miller, Sondra Sellars, Marvin Harold Zelkin
Hearing Site: Chicago, IL
| | Expungement |
| 14-03818 | 11/09/2015 | Claimant(s): Kathleen Szewczyk
Claimant Lawyers(s): Ross S. Carponelli
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Mark L Miller, Jeffrey W. Finke, Shelby Webb
Hearing Site: Chicago, IL
| | $0 |
| 14-01628 | 04/15/2015 | Claimant(s): Adam Steinberg, Jeffrey Steinberg, Adam Steinberg SEP IRA
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | $15,300 |
| 11-04690 | 07/22/2013 | Claimant(s): Carol Kafka, Candice Company., Father & Sons Contractors., Father and Son's Home Improvement II,, Riverside Management., Riverside Realty.
Claimant Lawyers(s): Charles Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mark L Miller, Edward Louis Koven, Edward Johannes Hertenstein
Hearing Site: Chicago, IL
| | Expungement |
| 10-01802 | 12/10/2012 | Claimant(s): Colleen Reardon, Edward Reardon, Edward Reardon TTEE of the Edward
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Mark L Miller, Marilee Roberg, Ronald A. Sirt
Hearing Site: Chicago, IL
| | Expungement |
| 09-05757 | 03/14/2012 | Claimant(s): Paul McDonough & Ellen McDonough, JT TEN
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette P. Morales
Arbitrator(s): Susan K. Franz, Mark L Miller, Richard R. Bicek
Hearing Site: Chicago, IL
| | Expungement |
