| 08-03976 | 08/12/2010 | Claimant(s): Ila Mellul
Claimant Lawyers(s): Lawrence Rosen
Respondent(s): David Marcus, M Holdings Securities.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Carole M. Crosby, James F. Carlson, Daniel Baruch Lidawer
Hearing Site: Chicago, IL
|  | Stipulated Award and Expungement |
| 09-03911 | 08/02/2010 | Claimant(s): Linda Whitesell
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Bruce Biedar, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Jerome J. Brault, Lee H. Goodman, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 08-02958 | 07/26/2010 | Claimant(s): Anna Rasmussen, Robert Jack Rasmussen, Cust. Acct., Samuel Robert Rasmussen, Taylor Marie Rasmussen Cust. Acct.
Claimant Lawyers(s): Gregory A. Adamski
Respondent(s): LPL Financial LLC, John Donaldson, Professional Wealth Management.
Respondent Lawyers(s): Paul Weltlich, Peter B. Shaeffer
Arbitrator(s): Robin David, James F. Carlson, Hyram A. Evans
Hearing Site: Chicago, IL
| | $0 |
| 09-01730 | 07/22/2010 | Claimant(s): Mary Ann Prekosovich IRA, Mary Ann Prekosovich, Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Theodore L. Leeb
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-03475 | 07/19/2010 | Claimant(s): Greg Merdinger Revocable Trust
Claimant Lawyers(s): Lawrence W. Byrne
Respondent(s): Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Richard G Clemens, Daniel R. Formeller, Brenda K. Fournier
Hearing Site: Chicago, IL
| | $0 |
| 09-06928 | 07/15/2010 | Claimant(s): Debra Alavi DDS MS Defined Benefit Plan,
Claimant Lawyers(s): Debra G Alavi
Respondent(s): Douglas Mavrovic
Respondent Lawyers(s): Nicole C. Johnson
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 09-00558 | 07/02/2010 | Claimant(s): Carl Noble, Sandra Noble
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Theodore Williams, Howe Barnes Hoefer & Arnett.
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): James D. Adducci, Louis M. Skydell, Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 09-01494 | 06/29/2010 | Claimant(s): Kenneth Iwanicki, Penelope Iwanicki
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie, President
Arbitrator(s): Robert W. Edler, Theodore M. Utchen, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
| 05-02413 | 06/22/2010 | Claimant(s): Arlene Johnson, IRA, Laurance Johnson, Arlene and Laurance Johnson, Arlene Johnson as trustee
Claimant Lawyers(s): George J. Vournazos
Respondent(s): Stuart Updegrove, First Republic Group
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Susanne J. Hollander, Paul T. Greening, Josette Belvedere
Hearing Site: Chicago, IL
| | $0 |
| 09-03076 | 06/11/2010 | Claimant(s): Alina Zaucha, Joseph Zaucha
Claimant Lawyers(s): James J. Moylan
Respondent(s): Raymond James Financial Services., Michael Solesky
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Richard A. Van Kalker
Hearing Site: Chicago, IL
| | $0 |
