| 13-01838 | 11/12/2014 | Claimant(s): Robert Kenneke
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Fifth Third Securities., Mark Rottler
Respondent Lawyers(s): Christen M. Steimle
Arbitrator(s): Michael S. Matek, Thomas F. Mahoney, Michael David Bohne
Hearing Site: Chicago, IL
|  | $100,000 |
| 13-03372 | 11/05/2014 | Claimant(s): Harold Welser
Claimant Lawyers(s): Harold C. Welser
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
| | $0 |
| 13-02526 | 10/21/2014 | Claimant(s): Grace Whang, Grace B. Whang Revocable Trust
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Genevieve Mar, Woodbury Financial Services.
Respondent Lawyers(s): Cory D. Olson, Eric A. Michaels
Arbitrator(s): Sheldon I. Saitlin, Donald M. Thompson, Patrick Richard Stoker
Hearing Site: Chicago, IL
| | Expungement |
| 13-02841 | 10/02/2014 | Claimant(s): Michael Magruder
Claimant Lawyers(s): Michael W. Magruder
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | $300 |
| 13-01787 | 09/12/2014 | Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Richard Landi, Robert Mather, Roger Leibowitz, RBC Capital Markets LLC, Allied Beacon Partners.
Respondent Lawyers(s): Debra A. Jenks, Ronald Kane, Steven S. Biss
Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Stipulated Award |
| 13-03019 | 09/08/2014 | Claimant(s): Chris Rones
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): David J. Langseth, Mitchell Lee Marinello, Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 13-01326 | 08/08/2014 | Claimant(s): Oral Sekendur
Claimant Lawyers(s): Oral Sekendur
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Frederic M. Rizzo, Ralph M. Goren, Michael J. Rappa
Hearing Site: Chicago, IL
| | $0 |
| 12-03694 | 06/20/2014 | Claimant(s): Clara Lenz, Friedel Lenz
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kraig Mickelsen, Ausdal Financial Partners.
Respondent Lawyers(s): Gara Seagraves, Wendy S. Menghini
Arbitrator(s): Robert S. Sugarman, Philip J. Glick, Margaret Ann Angelucci
Hearing Site: Chicago, IL
| | Expungement |
| 13-00888 | 06/20/2014 | Claimant(s): Trainor Trucking.
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | $0 |
| 12-01243 | 06/04/2014 | Claimant(s): William Eglar
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Susanne J. Hollander, Marilee Roberg, Irving A. Chesler
Hearing Site: Chicago, IL
| | Expungement |
