| 12-00899 | 06/06/2013 | Claimant(s): Joyce Selvig
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Fidelity Brokerage Services LLC, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione, John Starnes
Arbitrator(s): Henry G. Nothnagel, Marilee Roberg, James A. Murphy
Hearing Site: Chicago, IL
|  | $0 |
| 12-03463 | 05/31/2013 | Claimant(s): Joanna N. Sobran, IRA
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Julie Casserly
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 12-00204 | 05/29/2013 | Claimant(s): Diane Wilkinson, Ernest Wilkinson, The Estate of Ernest O. Wilkinson, The Wilkinson Living Trust U/A 1/10/08
Claimant Lawyers(s): Carmen A. Gaspero
Respondent(s): Carl Birkelbach, Birkelbach Investment Securities.
Respondent Lawyers(s): James A. McGurk
Arbitrator(s): Robert P. Bramnik, Michael S. Jordan, Joseph A. Landa
Hearing Site: Chicago, IL
| | $300 |
| 11-03457 | 05/28/2013 | Claimant(s): Abbe Heller, Howard Diamond
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): David Boudreau, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Theodore L. Leeb, Leonard Arthur Nelson, Olusola Olayinka Oyeyemi
Hearing Site: Chicago, IL
| | Expungement |
| 10-01778 | 05/21/2013 | Claimant(s): Annette Bosco, Diane Rubel, Louis Bosco, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust Dtd 6/25/96, The Bosco Family Trust Dtd 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): George Gilbert, James Mitchell, AIC., Community Bankers Securities, Waterford Investor Services.
Respondent Lawyers(s): Benjamin Skjold, Company President, George J. Gilbert, James Marvin Mitchell, Steven S. Biss
Arbitrator(s): Steven P. Gomberg, James F. Carlson, Michael S. Jordan
Hearing Site: Chicago, IL
| | $1,607,500 |
| 12-01907 | 05/15/2013 | Claimant(s): Nicholas Nayak
Claimant Lawyers(s): Peter J. Berman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): G. Marshall Abbey
Hearing Site: Chicago, IL
| | $20,648 |
| 11-03373 | 05/10/2013 | Claimant(s): Crown Metal Employee Manufacturing
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 11-00768 | 05/07/2013 | Claimant(s): Cathy Caire, Robert Caire
Claimant Lawyers(s): John S. Burke
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Miriam Bahcall
Arbitrator(s): Samuel B. Garber
Hearing Site: Chicago, IL
| | Expungement |
| 12-00271 | 04/05/2013 | Claimant(s): Kevin O'Neill
Claimant Lawyers(s): Robert C. Levels
Respondent(s): Birkelbach Investment Securities.
Respondent Lawyers(s): Christopher Wurtzinger
Arbitrator(s): Michael F. Jordan, Epaminondas Eddie Manelis, Michael S. Jordan
Hearing Site: Chicago, IL
| | $687,410 |
| 12-01720 | 04/02/2013 | Claimant(s): Norman Hoffberg
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | Expungement |
