| 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 |
| 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 |
