| 17-03316 | 02/04/2019 | Claimant(s): Nicholas McClanahan
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Ray J. Grzebielski, Gerald F DeNotto, Robert S. Grabemann
Hearing Site: Chicago, IL
|  | Dismissed by Rule 12206 |
| 15-03071 | 04/05/2017 | Claimant(s): Alice Appel
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Indianapolis, IN
| | Expungement |
| 14-01200 | 07/27/2016 | Claimant(s): Henry Johansen
Claimant Lawyers(s): David Liebrader
Respondent(s): George Carris, Joseph Principe, Vladimir Belyaev, John Carris Investments LLC
Respondent Lawyers(s): George William Carris, Joseph Principe, Vladimir Belyaev
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $10,560 |
| 15-01909 | 03/18/2016 | Claimant(s): Jerome Grohovsky, Naomi Grohovsky, JPG & Associates.
Claimant Lawyers(s): Joshua Kons
Respondent(s): Sagepoint Financial., Next Financial Group.
Respondent Lawyers(s): Debra L. Weiss, Greg Curley
Arbitrator(s): Ray J. Grzebielski, Lavon C. Phillips, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 14-03271 | 10/01/2015 | Claimant(s): Pearl Creath
Claimant Lawyers(s): Pearl Creath
Respondent(s): Evaughn Branham-Ferrero, J.P. Morgan Securities, Keith Parks
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $0 |
| 13-03763 | 08/15/2014 | Claimant(s): Evelyn McDowell, John McDowell
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Indianapolis, IN
| | $50,000 |
| 11-04665 | 09/04/2013 | Claimant(s): Gary Epping
Claimant Lawyers(s): Edward H. Glenn, Jr.
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Milwaukee, WI
| | Expungement |
| 12-01189 | 10/25/2012 | Claimant(s): Bradley Glatter
Claimant Lawyers(s): Bradley Glatter
Respondent(s): LPL Financial LLC, Michael Lutz
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $213 |
| 11-01073 | 10/05/2012 | Claimant(s): John Mattinen, Lucy Mattinen
Claimant Lawyers(s): Steven J. Rotunno
Respondent(s): Krittibas Ray, White Pacific Securities.
Respondent Lawyers(s): Krittibas Ray, Patrick Baldwin
Arbitrator(s): Ray J. Grzebielski, Renan I. Sugarman, Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $200,000 |
| 11-02945 | 07/26/2012 | Claimant(s): Fred Prudhomme
Claimant Lawyers(s): James A. McGurk
Respondent(s): Arnold Janickas, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ray J. Grzebielski, Caroline N. Harney, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $140,300 |
