| 17-02836 | 08/15/2018 | Claimant(s): John Riley, Jyoti Riley, Blenheim Companies LLC, Jyoti Riley IRA Account, John and Jyoti Riley Joint Account, J&J Family L.P.
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): Daryl M. Schumacher
Arbitrator(s): Raymond P. Buschmann, Alan Barinholtz, Mark W Solock
Hearing Site: Chicago, IL
|  | Dismissed by Rule 12206 |
| 16-03238 | 01/06/2018 | Claimant(s): Est. of Franklin Douglas by its P.R.
Claimant Lawyers(s): David L. Jones
Respondent(s): Fifth Third Securities., Jeremy Schipp
Respondent Lawyers(s): D. Justin Gingerich
Arbitrator(s): Larry Evert Carlson, Paul Lansing, Raymond P. Buschmann
Hearing Site: Indianapolis, IN
| | $0 |
| 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 |
| 14-02430 | 09/06/2016 | Claimant(s): Michael Consolo
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Michael Nathanson, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 15-01499 | 08/31/2016 | Claimant(s): Deborah Howland, Leon Howland
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Lynn Hirschfeld Brahin, Raymond P. Buschmann, William Gibson Heller
Hearing Site: Indianapolis, IN
| | $0 |
| 15-00398 | 08/10/2016 | Claimant(s): Dan Malauskas, Sharon Malauska
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Anastasios Belesis, Baris Cabalar, John Thomas Financial
Respondent Lawyers(s): Anthony C. Varbero, Thomas J. McCabe, Tom Belesis
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Stipulated Award |
| 12-03703 | 05/06/2016 | Claimant(s): Adrienne Byrne, Corinne Marks, Errol Rafacz, Kimberly Livingston, Martin Rafacz, Nichole Arnott, Pamela Rafacz-Serna, Last Will & Testament of Henry J. Rafacz
Claimant Lawyers(s): Adrienne Byrne, Corinne Marks, Errol Rafacz, Kimberly Livingston, Martin Rafacz, Nichole Arnott, Pamela Rafacz-Serna
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Christopher S. Pickett
Arbitrator(s): Raymond P. Buschmann, Adrian E. Mazar, James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 13-01369 | 11/13/2015 | Claimant(s): William Call
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Samuel B. Garber, Rita J. Jacyna Curley, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
| 13-01981 | 07/21/2015 | Claimant(s): David Turza, Erin Turza as custodian for Lauren Turza, Erin Turza as custodian for Samantha Tur
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc., Richard Ceffalio
Respondent Lawyers(s): Angela A. Turiano, Michael Naccarato, Stephany D. McLaughlin
Arbitrator(s): Jerome F. Crotty, Lynn Hirschfeld Brahin, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 13-01787 | 09/12/2014 | Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Richard Landi, Robert Mather, Roger Leibowitz, RBC Capital Markets LLC, Allied Beacon Partners.
Respondent Lawyers(s): Debra A. Jenks, Ronald Kane, Steven S. Biss
Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Stipulated Award |
