| 09-07271 | 07/21/2011 | Claimant(s): Roger Fross
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): John K. Notz, Ann Wilhelmina Kuppe, Elena P. Anastasiou
Hearing Site: Chicago, IL
|  | Expungement |
| 10-00728 | 07/21/2011 | Claimant(s): Raymond Masiliunas
Claimant Lawyers(s): Sandor L. Grossman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Sondra Sellars
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 10-02252 | 07/15/2011 | Claimant(s): Ira Robb, Iracini Equity, Edward W. Leshin Rollover IRA, Ira Robb Rollover IRA, Almalech Living Trust
Claimant Lawyers(s): Alan F. Block
Respondent(s): Brad Cetron, Bradley Tank, Brian Hahn, Edward Grieb, Joseph Amato, Neuberger Berman LLC
Respondent Lawyers(s): Seth M. Schwartz
Arbitrator(s): Ray J. Grzebielski, Matthew P. Hardy, G. Marshall Abbey
Hearing Site: Chicago, IL
| | $323,420 |
| 09-05115 | 07/08/2011 | Claimant(s): Mohan Selvardj
Claimant Lawyers(s): Christopher J. Murdoch
Respondent(s): Thinkorswim.
Respondent Lawyers(s): Howard J. Kaplan
Arbitrator(s): Ralph M. Goren, Cynthia R. Lyons, Ann Wilhelmina Kuppe
Hearing Site: Chicago, IL
| | $0 |
| 11-00599 | 07/07/2011 | Claimant(s): Jack Chesler
Claimant Lawyers(s): Jack Chesler
Respondent(s): The GMS Group
Respondent Lawyers(s): Thomas M. Regenye
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | $38 |
| 09-03662 | 06/30/2011 | Claimant(s): Frances Lebrasca
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Barbara Regnitz, Wachovia Securities, Muneera Dawood
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Victor Elting, James F. Carlson, Kenneth N. Adamson
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-05758 | 06/30/2011 | Claimant(s): Don Miller, Donald C. Miller Charles Schwab & Co. In
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 10-03883 | 06/15/2011 | Claimant(s): Alan Klein, Ttee for Alan J Klein Trust
Claimant Lawyers(s): Alan Klein
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Elliot Leitner
Hearing Site: Chicago, IL
| | $0 |
| 08-04697 | 06/10/2011 | Claimant(s): Jackie Andalman, Jackie Andalman IRA
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette P. Morales
Arbitrator(s): Ruth Hannenberg, Donald W. McKenzie, Robert P. Keno
Hearing Site: Chicago, IL
| | Expungement |
| 09-05257 | 05/09/2011 | Claimant(s): Joan Bonert, Joan Bonert Trust
Claimant Lawyers(s): Christopher P. Porter
Respondent(s): Michael Westmoreland, AOS.
Respondent Lawyers(s): Daryl M. Schumacher, Michael L. Westmoreland
Arbitrator(s): Robert L. Agusto
Hearing Site: Chicago, IL
| | $135,472 |
