| 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 |
| 15-03300 | 07/05/2016 | Claimant(s): Gary Ward
Claimant Lawyers(s): Gary Ward
Respondent(s): Associated Investment Services.
Respondent Lawyers(s): Michael Silver
Arbitrator(s): Donald M. Thompson
Hearing Site: Chicago, IL
| | $0 |
| 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 |
| 15-00415 | 04/25/2016 | Claimant(s): Chanan Mandel
Claimant Lawyers(s): Chanan Mandel
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Henry Kirke Cushing, Richard A. Berman, G. Marshall Abbey
Hearing Site: Chicago, IL
| | $0 |
| 14-02677 | 03/25/2016 | Claimant(s): APS Corporation USA
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): Bruce Roberts, Peter Milhaupt, Sanjay Raghavan, Carolina Financial Securities
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s):
Hearing Site: Chicago, IL
| | $0 |
| 15-00692 | 03/17/2016 | Claimant(s): Yaser Moustafa
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Romano Brothers And Company
Respondent Lawyers(s): William B. Berndt
Arbitrator(s): Thomas F. Mahoney, G. Gale Roberson, Daniel R. Formeller
Hearing Site: Chicago, IL
| | $155,000 |
| 15-00273 | 03/10/2016 | Claimant(s): Elaine Hornyak IRA, Steven Hornyak IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Radcliffe Daly
Respondent Lawyers(s): Radcliffe Robert Daly
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $15,769 |
| 15-00193 | 02/25/2016 | Claimant(s): Robert Wagner, Vicki Wagner
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Henry Kulig, FSC Securities Corporation
Respondent Lawyers(s): Craig H. Kuglar
Arbitrator(s): Daniel R. Formeller, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | $70,333 |
| 13-01645 | 02/04/2016 | Claimant(s): Antonio Cali, Kathryn Cali
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Wells Fargo Advisors, Robert Batchen
Respondent Lawyers(s): Nancy L. Hendrickson, Nuviah Shirazi
Arbitrator(s): John D. Crawford, Frank A. Dusek, Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 14-03766 | 02/04/2016 | Claimant(s): Jeffrey Richards
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Damon Testaverde, Patrick Teutonico, Philip Dina, Richard Hunt, William Hunt, Network 1 Financial Securities Inc.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Jeffrey W. Finke, Mitchell Lee Marinello, Shelby Webb
Hearing Site: Chicago, IL
| | $0 |
