| 16-02234 | 04/14/2017 | Claimant(s): Nancy Montelbano
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Morgan Stanley, Stuart Zimmerman, Thomas Wielgos
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
|  | $225 |
| 16-00310 | 04/06/2017 | Claimant(s): John Summerfield, John A. Summerfield IRA, John A. Summerfield Trust
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona Esq.
Arbitrator(s): Howard Z. Gopman, Michael S. Jordan, Seymour Andrew Newman
Hearing Site: Chicago, IL
| | Expungement |
| 15-03181 | 03/14/2017 | Claimant(s): Gary Matt
Claimant Lawyers(s): John Muldoon
Respondent(s): Anthony Minerva, James Bernthal, Wesley Clinton
Respondent Lawyers(s): Anthony Minerva, James Rhys Bernthal, Wesley Owen Clinton
Arbitrator(s): John D. Crawford, Sal Presti, Robert J. Albers
Hearing Site: Chicago, IL
| | Expungement |
| 16-00222 | 02/09/2017 | Claimant(s): Bruce Pritz, Edward Edington, Jerry Oshinski, Lorraine Pritz, Robin Oshinski, Wallace Pritz, Edward Edington IRA, Jerry Oshinski IRA, Robin Oshinski IRA
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Louis Scherschel, Sigma Financial Corporation, Sigma Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Stephany D. McLaughlin
Arbitrator(s): James D. Adducci, Leon Fox, Edward John Zulkey
Hearing Site: Chicago, IL
| | Expungement |
| 16-01803 | 01/30/2017 | Claimant(s): Thomas Souran
Claimant Lawyers(s): Thomas C. Souran
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
| | $325 |
| 16-00105 | 01/19/2017 | Claimant(s): Russell Day
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Frank Fusco, John Calardo, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber, Michael C. Farkas
Arbitrator(s): Sondra Sellars
Hearing Site: Chicago, IL
| | $300 |
| 13-02179 | 12/21/2016 | Claimant(s): The Vega Asset Recovery Fund
Claimant Lawyers(s): Gregg Rzepczynski
Respondent(s): Newedge USA LLC
Respondent Lawyers(s): Stacie R. Hartman
Arbitrator(s): Daniel R. Formeller, Henry G. Nothnagel, Jeffrey W. Finke
Hearing Site: Chicago, IL
| | $0 |
| 15-03057 | 12/06/2016 | Claimant(s): Aaron Suen
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Peter McDonnell
Respondent Lawyers(s): William J. Nissen
Arbitrator(s): Edward Louis Koven, Elaine Munson Loeser, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | Expungement |
| 15-00681 | 11/01/2016 | Claimant(s): The Last Will & Testament of R.Gaffney
Claimant Lawyers(s): Nicholas P Iavarone
Respondent(s): Morgan Stanley, Richard Colbert
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Susan L. Walker, Shelby Webb, Walter Patrick Giblin
Hearing Site: Chicago, IL
| | $0 |
| 16-00141 | 10/27/2016 | Claimant(s): Jennifer Schall
Claimant Lawyers(s): Jennifer Childe Schall
Respondent(s): Morgan Stanley, Liliana Paz-Franco
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | $300 |
