| 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 |
| 14-00908 | 01/23/2015 | Claimant(s): Wayne D. Atkins
Claimant Lawyers(s): Wayne D. Atkins
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 12-01243 | 06/04/2014 | Claimant(s): William Eglar
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Susanne J. Hollander, Marilee Roberg, Irving A. Chesler
Hearing Site: Chicago, IL
| | Expungement |
| 13-00613 | 11/08/2013 | Claimant(s): Charles Byrd, Dan DeSimoni, Dennis Owens, Doug Reinhart, Greg Stringer, Hammond Hunt, Henry Respess, Irvin Plowden, J. Turner Hunt, Massimo DeSimoni, Maxine Kelley, Michael DeSimoni, Paul Reinhart, Willard Hill, William Hunt, William "Will" Bunker
Claimant Lawyers(s): Scott F. Hessell
Respondent(s): Deutsche Bank Securities., David Parse, Raymond Brubaker, DB Alex. Brown LLC, Deutsche Bank AG
Respondent Lawyers(s): Allan N. Taffet, Keith E. Blackman, Kevin E. O'Reilly, Paul H. Schoeman, The Company President
Arbitrator(s): Joseph D. Vu, Marilee Roberg, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 12-04166 | 11/01/2013 | Claimant(s): Kevin Schoenbeck
Claimant Lawyers(s): Kevin L. Schoenbeck
Respondent(s): First Trust Portfolios L.P.
Respondent Lawyers(s): Sara Siegall
Arbitrator(s): Susan S. Hickel, Marilee Roberg, Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 12-00899 | 06/06/2013 | Claimant(s): Joyce Selvig
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Fidelity Brokerage Services LLC, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione, John Starnes
Arbitrator(s): Henry G. Nothnagel, Marilee Roberg, James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 10-01802 | 12/10/2012 | Claimant(s): Colleen Reardon, Edward Reardon, Edward Reardon TTEE of the Edward
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Mark L Miller, Marilee Roberg, Ronald A. Sirt
Hearing Site: Chicago, IL
| | Expungement |
| 11-00704 | 10/10/2012 | Claimant(s): The Estate of Barbara Micek
Claimant Lawyers(s): Thomas P. Yardley
Respondent(s): UBS Financial Services Inc., The Estate of James R. Kirchner, Sr.
Respondent Lawyers(s): Stefanie M. Wayco, Tim Rabel
Arbitrator(s): Thomas Sargant, John D. Crawford, Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 08-02639 | 01/13/2011 | Claimant(s): International Capital Management Company
Claimant Lawyers(s): Celiza P. Braganca
Respondent(s): J.P. Morgan Securities, Matthew Tannin, Norman Lang, Ralph Cioffi, Raymond McGarrigal, Bear Stearns Asset Management Inc., The Bear Stearn & Companies.
Respondent Lawyers(s): Catherine L. Redlich, Edward J.M. Little, Gabrielle Gould, Theresa Trzaskoma
Arbitrator(s): Howard B. Silverman, Susanne J. Hollander, Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 10-00932 | 09/24/2010 | Claimant(s): John Bishop
Claimant Lawyers(s): Jeremiah Phillips
Respondent(s): James Horton, E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $425 |
