| 13-00613 | 11/08/2013 | Claimant(s): Charles Byrd, Dan DeSimoni, Dennis Owens, Doug Reinhart, Greg Stringer, Hammond Hunt, Henry Respess, Irvin Plowden, J. Turner Hunt, Massimo DeSimoni, Maxine Kelley, Michael DeSimoni, Paul Reinhart, Willard Hill, William Hunt, William "Will" Bunker
Claimant Lawyers(s): Scott F. Hessell
Respondent(s): Deutsche Bank Securities., David Parse, Raymond Brubaker, DB Alex. Brown LLC, Deutsche Bank AG
Respondent Lawyers(s): Allan N. Taffet, Keith E. Blackman, Kevin E. O'Reilly, Paul H. Schoeman, The Company President
Arbitrator(s): Joseph D. Vu, Marilee Roberg, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
|  | Dismissed by Rule 12206 |
| 13-01593 | 11/07/2013 | Claimant(s): Larry Albrecht
Claimant Lawyers(s): Larry A. Albrecht
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): Carol McHugh Sanders
Hearing Site: Chicago, IL
| | $88 |
| 12-04166 | 11/01/2013 | Claimant(s): Kevin Schoenbeck
Claimant Lawyers(s): Kevin L. Schoenbeck
Respondent(s): First Trust Portfolios L.P.
Respondent Lawyers(s): Sara Siegall
Arbitrator(s): Susan S. Hickel, Marilee Roberg, Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 12-03915 | 10/22/2013 | Claimant(s): John Noble
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Michael O'Brien, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
| | Expungement |
| 13-00164 | 10/15/2013 | Claimant(s): Jane Benkendorf
Claimant Lawyers(s): Jane Weller Benkendorf
Respondent(s): Eron Dahl
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | $213 |
| 12-02877 | 09/11/2013 | Claimant(s): Ray Cahnman, Redwood Partners, L.P.
Claimant Lawyers(s): Robert J. Mottern
Respondent(s): Michael Cavallaro, Steven Hovde, Hovde Securities LLC
Respondent Lawyers(s): Gerald B. Kline, Justin J. Millette
Arbitrator(s): A. Brad Busscher, Samuel B. Garber, James Michael Bailey
Hearing Site: Chicago, IL
| | Expungement |
| 11-04690 | 07/22/2013 | Claimant(s): Carol Kafka, Candice Company., Father & Sons Contractors., Father and Son's Home Improvement II,, Riverside Management., Riverside Realty.
Claimant Lawyers(s): Charles Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mark L Miller, Edward Louis Koven, Edward Johannes Hertenstein
Hearing Site: Chicago, IL
| | Expungement |
| 12-03492 | 07/17/2013 | Claimant(s): Jay Heller
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 12-01815 | 07/01/2013 | Claimant(s): Cynthia Undesser, John Undesser, Richard Undesser
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William M. Getzoff, Rody P. Biggert, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | $0 |
| 11-02628 | 06/14/2013 | Claimant(s): Lutgarda Mical, Stanley Mical
Claimant Lawyers(s): Stanley J. Mical
Respondent(s): E*Trade Securities LLC, Stuart Novoselsky
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Alan E. Case, Philip J. Glick, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $0 |
