| 11-03457 | 05/28/2013 | Claimant(s): Abbe Heller, Howard Diamond
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): David Boudreau, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Theodore L. Leeb, Leonard Arthur Nelson, Olusola Olayinka Oyeyemi
Hearing Site: Chicago, IL
|  | Expungement |
| 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 |
| 10-04649 | 12/22/2011 | Claimant(s): The Estate of Theodore M. Krizman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CFD Investments.
Respondent Lawyers(s): Andrew J. Dorman
Arbitrator(s): G. Donald Steel, Judith Ann Estabrook Shepard, Leonard Arthur Nelson
Hearing Site: Indianapolis, IN
| | $0 |
| 10-02160 | 08/05/2011 | Claimant(s): Richard Irsay, Steven Irsay
Claimant Lawyers(s): Steven Irsay
Respondent(s): Wachovia Securities, Danica King, Daniel Hughes, Gregory Wells, Woodrow Jones
Respondent Lawyers(s): Danica King, Steven D. Hamilton
Arbitrator(s): Lee H. Goodman, Leonard Arthur Nelson, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $78,343 |
| 05-01567 | 12/27/2007 | Claimant(s): Mary DeThorne
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Edward Malysiak, Rothschild Investment Corp.
Respondent Lawyers(s): James B. Koch, Michael R. Grimm
Arbitrator(s): Ronald C. Peters, William B. Ross, Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $9,626 |
