| 13-00103 | 04/25/2014 | Claimant(s): Roslyn Grodzin
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Sagepoint Financial., Ronald Smith
Respondent Lawyers(s): Courtney R. Reid, Ronald Smith
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
|  | $42,808 |
| 12-02226 | 04/02/2014 | Claimant(s): Keith Lopez
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): David Hanna, David Unsworth, Jamal Sampson, Legend Merchant Group.
Respondent Lawyers(s): David G. Hanna, Jamal Hiram Sampson, Timothy Feil
Arbitrator(s): John S. Burke, Darlene L. Redmond, Olusola Olayinka Oyeyemi
Hearing Site: Chicago, IL
| | Expungement |
| 13-02263 | 03/19/2014 | Claimant(s): Kelly Curran
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Bart Ellis, Ameriprise Financial Services.
Respondent Lawyers(s): Bart James Ellis, Susan E. Sheely
Arbitrator(s): Carol McHugh Sanders
Hearing Site: Chicago, IL
| | $43,444 |
| 13-02641 | 03/19/2014 | Claimant(s): Junho Baik
Claimant Lawyers(s): Junho Baik
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): John D. Crawford
Hearing Site: Chicago, IL
| | $38 |
| 12-03899 | 03/10/2014 | Claimant(s): Harold Edmonson
Claimant Lawyers(s): Erwin Cohn
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Jack J. Herman, Susan L. Walker, James A. Murphy
Hearing Site: Chicago, IL
| | $14,629 |
| 13-00013 | 02/26/2014 | Claimant(s): Joan Pawloski
Claimant Lawyers(s): George S. Bellas
Respondent(s): H. Anderson, Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Michael I. White, Elizabeth C. Simon, Scott Stauffer
Hearing Site: Chicago, IL
| | $0 |
| 13-00188 | 02/21/2014 | Claimant(s): Ghaleb Azroui
Claimant Lawyers(s): Ghaleb K Azroui
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): John E. Parkes, G. Gale Roberson, Jerome F. Crotty
Hearing Site: Chicago, IL
| | $0 |
| 13-01307 | 02/20/2014 | Claimant(s): Richard Hakanson
Claimant Lawyers(s): Erwin Cohn
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Stephen C. Esposito
Hearing Site: Chicago, IL
| | $0 |
| 08-03364 | 02/19/2014 | Claimant(s): David Abbott, James Abbott, Michael Abbott
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Charles Lane, RBC Capital Markets Corporation
Respondent Lawyers(s): Charles A. Lane, Ronald P. Kane
Arbitrator(s): Michael F. Jordan, Stephen C. Esposito, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $201,240 |
| 12-02522 | 02/19/2014 | Claimant(s): Keith G. Berg, & Mary L Hedblom Liv fam
Claimant Lawyers(s): August M. Iorio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | Expungement |
