| 16-02693 | 10/25/2017 | Claimant(s): Raymond Seibert
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Sherry Brooker, Cetera Financial Specialists LLC
Respondent Lawyers(s): Andrew Dorman
Arbitrator(s): Leon Fox, Michael Nathanson, Patrick Moran
Hearing Site: Chicago, IL
|  | $0 |
| 16-00222 | 02/09/2017 | Claimant(s): Bruce Pritz, Edward Edington, Jerry Oshinski, Lorraine Pritz, Robin Oshinski, Wallace Pritz, Edward Edington IRA, Jerry Oshinski IRA, Robin Oshinski IRA
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Louis Scherschel, Sigma Financial Corporation, Sigma Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Stephany D. McLaughlin
Arbitrator(s): James D. Adducci, Leon Fox, Edward John Zulkey
Hearing Site: Chicago, IL
| | Expungement |
| 11-02019 | 07/26/2016 | Claimant(s): John Kelly, Ruth Kelly
Claimant Lawyers(s): James Borcia
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Leon Fox, Marilee Roberg, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $0 |
| 14-01354 | 08/26/2015 | Claimant(s): Randall Sawicki
Claimant Lawyers(s): Stephen L. Morgan
Respondent(s): Roric Griffith
Respondent Lawyers(s): Bryan G. Shumann
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | $0 |
| 13-03675 | 03/31/2015 | Claimant(s): Richard Bergdahl, Richard G. Bergdahl IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Leon Fox, Debra J. Tucker, G. Marshall Abbey
Hearing Site: Chicago, IL
| | Expungement |
| 14-00468 | 03/09/2015 | Claimant(s): Alek Jakich, Eva Leinweber
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | $0 |
| 12-03778 | 12/08/2014 | Claimant(s): Kimberly Bauers
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): Charles Schwab & Co.., Richard Rodriguez
Respondent Lawyers(s): Anthony Valenzuela
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | $0 |
| 12-03358 | 12/23/2013 | Claimant(s): Stuart Allen
Claimant Lawyers(s): James H. West
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Leon Fox, Pamela A. Kentra, Michael I. White
Hearing Site: Chicago, IL
| | Expungement |
| 10-03006 | 01/17/2012 | Claimant(s): James Lockwood
Claimant Lawyers(s): Jennifer Walsh Hammer
Respondent(s): Gary Lowery, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Patrick G. King
Arbitrator(s): Frank R. Niederman, Arne R. Rode, Leon Fox
Hearing Site: Chicago, IL
| | Expungement |
| 11-02112 | 12/07/2011 | Claimant(s): Michael Riniker, Patricia Riniker
Claimant Lawyers(s): Patricia A. Riniker
Respondent(s): Locust Street Securities.
Respondent Lawyers(s): Jim Garvey
Arbitrator(s): James F. Carlson, Leon Fox, Ruth Ann Kubancek
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
