| 15-02212 | 10/05/2016 | Claimant(s): Leaman Ames, Pamela Ames
Claimant Lawyers(s): Mitchell S. Chaban
Respondent(s): Brent Hurt, RBC Capital Markets LLC, Redridge Securities.
Respondent Lawyers(s): Brent Hurt, Ronald P. Kane
Arbitrator(s): Robert W. Edler, Marilee Roberg, Jules Ira Crystal
Hearing Site: Chicago, IL
|  | $430,824 |
| 16-00520 | 09/30/2016 | Claimant(s): Daniel Conidi
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
| | $600 |
| 15-02437 | 09/15/2016 | Claimant(s): Roger Quick, Roger A. Quick Irrevocable Trust
Claimant Lawyers(s): Brian C. Haussmann
Respondent(s): Morgan Stanley, Stuart Zimmerman
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 15-03355 | 09/13/2016 | Claimant(s): Wilbert Hamstra
Claimant Lawyers(s): Tina M. Bird
Respondent(s): National Securities Corporation, Nikolai Acevedo
Respondent Lawyers(s): Charles M. O'Rourke, Jay M. Israel
Arbitrator(s): Charles Orlove
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 |
| 16-00140 | 08/26/2016 | Claimant(s): James Peters
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Cassandra Woodward, Jeffery Fanning, Marlon Cole, Liberty Partners Financial Services
Respondent Lawyers(s): Jeffrey A. Fanning, Executive Rep., Stephanie D. Delia
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | $300 |
| 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 |
| 14-01200 | 07/27/2016 | Claimant(s): Henry Johansen
Claimant Lawyers(s): David Liebrader
Respondent(s): George Carris, Joseph Principe, Vladimir Belyaev, John Carris Investments LLC
Respondent Lawyers(s): George William Carris, Joseph Principe, Vladimir Belyaev
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $10,560 |
| 15-03072 | 07/27/2016 | Claimant(s): John Heraty IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): David Geake, Sagepoint Financial.
Respondent Lawyers(s): David A. Baugh, Jodi S. Tesser
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 11-02019 | 07/26/2016 | Claimant(s): John Kelly, Ruth Kelly
Claimant Lawyers(s): James Borcia
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Leon Fox, Marilee Roberg, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $0 |
