| 13-03675 | 03/31/2015 | Claimant(s): Richard Bergdahl, Richard G. Bergdahl IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Leon Fox, Debra J. Tucker, G. Marshall Abbey
Hearing Site: Chicago, IL
|  | Expungement |
| 13-01790 | 03/24/2015 | Claimant(s): Larry Davis and Barbara Davis, JTTEN
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert L. Agusto, Ronald A. Lavery, Michael I. White
Hearing Site: Chicago, IL
| | Expungement |
| 14-01611 | 03/20/2015 | Claimant(s): Marvin Pearlman
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Peter Bruno, Wall Street Money Center Corp.
Respondent Lawyers(s): Peter Bruno
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $27,666 |
| 12-03901 | 03/10/2015 | Claimant(s): Sandra Harder
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Benjamin Pahl, Fidelity Brokerage Services LLC, Money Concepts Capital Corp
Respondent Lawyers(s): Joel M. Everest, Kathy M. Klock
Arbitrator(s): Kenneth N. Adamson, Susanne J. Hollander, Harvey R. Herman
Hearing Site: Chicago, IL
| | Expungement |
| 14-00468 | 03/09/2015 | Claimant(s): Alek Jakich, Eva Leinweber
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | $0 |
| 13-03337 | 02/25/2015 | Claimant(s): Nicholas Custer, Nicholas R. Custer, IRA
Claimant Lawyers(s): Susan E. Fisher
Respondent(s): Leslie Goldstein, Robert Hart, Sigma Financial Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Samuel B. Garber
Hearing Site: Chicago, IL
| | $600 |
| 14-01127 | 02/24/2015 | Claimant(s): Michael Strathman
Claimant Lawyers(s): Adam M. Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $0 |
| 13-03392 | 02/06/2015 | Claimant(s): Hans Taulien, Irene Taulien
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Travis R. Chapin
Arbitrator(s): G. Marshall Abbey
Hearing Site: Chicago, IL
| | Expungement |
| 14-00908 | 01/23/2015 | Claimant(s): Wayne D. Atkins
Claimant Lawyers(s): Wayne D. Atkins
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 13-02089 | 12/04/2014 | Claimant(s): Mary Osborne
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Rody P. Biggert
Hearing Site: Chicago, IL
| | Expungement |
