| 14-02069 | 09/01/2015 | Claimant(s): Charles Rayburn, Pamela Rayburn
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TradeKing
Respondent Lawyers(s): Paul McCurdy
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
|  | $2,500 |
| 14-02620 | 08/04/2015 | Claimant(s): Amanda Dollinger, Matthew Dollinger
Claimant Lawyers(s): Marc S. Mayer
Respondent(s): UBS Financial Services Inc., Ryan Lindgren
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Donald M. Thompson
Hearing Site: Chicago, IL
| | Expungement |
| 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 |
| 14-03241 | 07/14/2015 | Claimant(s): Samuel Lam
Claimant Lawyers(s): Mark Maddox
Respondent(s): Robert Gianchiglia, Ameritas Investment Corp., Investors Capital Corp.
Respondent Lawyers(s): Gara M. Seagraves, James A. McGovern
Arbitrator(s): James F. Carlson, Angela R. Murphy, Martin A. Duncan
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 13-03651 | 06/30/2015 | Claimant(s): Joseph Kapshandy
Claimant Lawyers(s): Eamon P. Kelly
Respondent(s): Timothy Kelly
Respondent Lawyers(s): Bradley P. Colborn
Arbitrator(s): Daniel R. Formeller, Champ W. Davis, Pamela A. Kentra
Hearing Site: Chicago, IL
| | Expungement |
| 14-03496 | 06/12/2015 | Claimant(s): Darryl Moskowitz
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $300 |
| 14-03177 | 06/11/2015 | Claimant(s): Charles Taliaferro
Claimant Lawyers(s): Charles A. Taliaferro
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin Fair
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 14-03876 | 06/11/2015 | Claimant(s): Chad Waterhouse
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): William M. Getzoff
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 |
| 13-02257 | 04/02/2015 | Claimant(s): Caryn Andrews, Dorothy Clarke
Claimant Lawyers(s): Stephany McLaughlin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William M. Getzoff, Eugene N. Halladay, James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
