| 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 |
| 08-00672 | 12/02/2009 | Claimant(s): Dan Camphausen, Edmund Templeton, Gerald Tahtinen, Larry Myhre, OADS, INC., Heidi Sparacino, IRA, Judith Meyers, Bartlett and Doris Richards, Dennis and Heidi Sparacino, Bonnie Meyers, Indiv & as Trustee of, Shirely Wong Profit Sharing Trust, The Gerald and Mary Dassow Trust
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Thomas P. Yardley
Arbitrator(s): Ralph M. Goren, Theodore L. Leeb, Craig D. Cook
Hearing Site: Chicago, IL
| | $174,766 |
| 09-00572 | 11/16/2009 | Claimant(s): Josephine DesParte
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Brian Kasal, William Blair & Company L.L.C., William Ross
Respondent Lawyers(s): Andrea K. Zollett, Phillip M. Goldberg
Arbitrator(s): John N. Chapin, Joseph FitzSimmons, John T. Keefe
Hearing Site: Chicago, IL
| | $1,117,860 |
| 08-02927 | 10/16/2009 | Claimant(s): Mary Stroud
Claimant Lawyers(s): Douglas M. DeClue
Respondent(s): Ingrid MacCready-Miller, Financial Planning System's, MTL Equity Products.
Respondent Lawyers(s): Jennifer A. Kenedy, Lauren Moy Kim
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | $0 |
| 08-03766 | 10/12/2009 | Claimant(s): Karen Kennedy, Karen Muto Kennedy, Roth IRA, Trustee RMA Acct., Trustee of Mge Acct
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Lee H. Goodman, Jacqueline Stanley Lustig, Samuel Olutola Akeju
Hearing Site: Chicago, IL
| | $0 |
| 09-00578 | 09/28/2009 | Claimant(s): Robert S. Barnhill IRA
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John David Thomas
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | $25,425 |
| 08-01475 | 09/25/2009 | Claimant(s): Carol Friedman
Claimant Lawyers(s): James J. Moylan
Respondent(s): Jordan Zaro, Riverside Securities., Terra Nova Financial
Respondent Lawyers(s): David F. Benson, Jordan P. Zaro, President
Arbitrator(s): Frederic M. Rizzo, Susanne J. Hollander, Robert P. Keno
Hearing Site: Chicago, IL
| | $251,361 |
