| 06-02711 | 05/25/2010 | Claimant(s): Donna Zgonina, Casmir H. Zgonina Ins. Trust
Claimant Lawyers(s): Robert D. Tepper
Respondent(s): Stifel, Nicolaus & Co.., George Johnson
Respondent Lawyers(s): Jane Matoesian
Arbitrator(s): Ray J. Grzebielski, Michael S. Jordan, Anthony P. Pecora
Hearing Site: Chicago, IL
|  | Stipulated Award |
| 09-04686 | 05/25/2010 | Claimant(s): Barbara Bauer
Claimant Lawyers(s): Harvey R. Herman
Respondent(s): Anthony Cibotti, UBS Financial Services Inc.
Respondent Lawyers(s): John O Murphy
Arbitrator(s): Richard J. Belmonte
Hearing Site: Chicago, IL
| | $0 |
| 09-05873 | 05/04/2010 | Claimant(s): Michael Dach
Claimant Lawyers(s): Michael A. Dach
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Jennifer F. Hinderliter
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 09-03365 | 04/26/2010 | Claimant(s): Judy Lipinski, William Lipinski, Judy A. Linpinski as TTEE of the Judy A., William A. Lipinski, TTEE of the William
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Stifel, Nicolaus & Co.., Donald Meyer
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Michael S. Matek, Robert P. Bramnik, Leon Fox
Hearing Site: Chicago, IL
| | $0 |
| 08-04774 | 04/01/2010 | Claimant(s): Joseph Vanek
Claimant Lawyers(s): Alberto Rodriguez
Respondent(s): UBS Securities LLC, Douglas Eaton, UBS Financial Services Inc., UBS AG
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John F Fennig, Robert S. Sugarman, Michael Howard Rosenbloom
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-01258 | 04/01/2010 | Claimant(s): Albert Bedran, Albert and Wendy Bedran
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Advanced Equities.
Respondent Lawyers(s): James D. Wilson
Arbitrator(s): Raymond P. Buschmann, James Michael Bailey, John T. Keefe
Hearing Site: Chicago, IL
| | $55,000 |
| 09-04508 | 03/15/2010 | Claimant(s): Sheldon Schafer
Claimant Lawyers(s): Sheldon L. Schafer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig Robinson
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | $88 |
| 08-01318 | 03/05/2010 | Claimant(s): Thelma Gainer
Claimant Lawyers(s): Thelma Gainer
Respondent(s): NYLife Securities LLC, Robert Koeller, Primevest Financial Services.
Respondent Lawyers(s): Harvey R. Herman, Kenneth L. Schmetterer
Arbitrator(s): Daniel Baruch Lidawer, Lawrence Tepper, Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 08-03323 | 12/18/2009 | Claimant(s): Cheryl Seifert
Claimant Lawyers(s): Erwin Cohn
Respondent(s): David Mummery, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Alan S. Farnell, Rita J. Jacyna Curley, Karyn Lynne Williams
Hearing Site: Chicago, IL
| | $67,000 |
| 08-04460 | 12/15/2009 | Claimant(s): Hilary Gibbons, Joseph Gibbons
Claimant Lawyers(s): Joseph H. Gibbons
Respondent(s): Citigroup Global Markets., Jay Hesdorffer, Marietta Hesdorffer, Michael Coleman
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Robert W. Edler, Ralph M. Goren, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
