| 12-02141 | 03/22/2013 | Claimant(s): Robert I. Spiegel Trust Number 100
Claimant Lawyers(s): Mona Lawton
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
|  | $0 |
| 09-00883 | 03/15/2013 | Claimant(s): John Beland and Elaine Beland, John Beland as TTEE of the Floyd and
Claimant Lawyers(s): David A. Genelly
Respondent(s): Ameriprise Financial Services., Ronald Miller
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Robert L. Agusto, Steven P. Gomberg, Michael I. White
Hearing Site: Chicago, IL
| | Expungement |
| 11-03458 | 02/21/2013 | Claimant(s): Baroukh Levi, Trudy Levi, Baroukh Levi IRA, Trudy and Baroukh Levi Joint Acct., Park Anesthesia PSP, Park Anesthesiologist PSP, Pro Anesthesia SC Emp RP, The Park Anestheia LLC 401K Plan, Baroukh Levi Living Trust
Claimant Lawyers(s): Martin Q. Ryan
Respondent(s): Timothy Mcfadden, Timothy Mcmullan, Capital Brokerage Corporation
Respondent Lawyers(s): Joshua Kroot, Timothy Owen McMullan, Timothy McFadden
Arbitrator(s): John D. Crawford, Champ W. Davis, Elizabeth C. Simon
Hearing Site: Chicago, IL
| | Expungement |
| 11-03374 | 02/20/2013 | Claimant(s): John North
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Ausdal Financial Partners.
Respondent Lawyers(s): Jeff Ziesman
Arbitrator(s): Michael Nathanson
Hearing Site: Chicago, IL
| | Expungement |
| 11-01256 | 02/19/2013 | Claimant(s): Carol Seaton, Carol A. Seaton IRA
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): UBS Financial Services Inc., Richard Judd
Respondent Lawyers(s): Amy B. Bard, Eric D. Brandfonbrener
Arbitrator(s): William M. Koziol, Mary Beth Wheeler, Philip J. Glick
Hearing Site: Chicago, IL
| | Expungement |
| 11-01804 | 01/31/2013 | Claimant(s): Candace Parkin, Robert Rubens
Claimant Lawyers(s): Robert Rubens
Respondent(s): Gerry Kostuk, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ralph M. Goren
Hearing Site: Chicago, IL
| | Expungement |
| 11-03627 | 01/30/2013 | Claimant(s): Alessandrina Deprizio, Carmela DiMare, Florence DiMare, Wilton Manor, Ltd.
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Securities America., Thomas Reynolds
Respondent Lawyers(s): Chad Weaver, Sandor Grossman
Arbitrator(s): Sheldon I. Saitlin, Woodrow A. Sutton, Theresa A Gillerlain
Hearing Site: Chicago, IL
| | Expungement |
| 11-02825 | 12/24/2012 | Claimant(s): Manfred Muell
Claimant Lawyers(s): John S. Burke
Respondent(s): Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Michael J. Waters
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 11-02248 | 12/12/2012 | Claimant(s): I-Wen Liu, Thomas Campbell
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): Genevieve Mar
Respondent Lawyers(s): Stephany McLaughlin
Arbitrator(s): Peter Ordower, Champ W. Davis, Elliot Leitner
Hearing Site: Chicago, IL
| | $125,000 |
| 10-01802 | 12/10/2012 | Claimant(s): Colleen Reardon, Edward Reardon, Edward Reardon TTEE of the Edward
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Mark L Miller, Marilee Roberg, Ronald A. Sirt
Hearing Site: Chicago, IL
| | Expungement |
