| 16-03687 | 06/04/2018 | Claimant(s): Robert Dekas
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Michael S. Matek, Anthony P. Pecora, Richard A. Berman
Hearing Site: Chicago, IL
|  | $800,000 |
| 17-02758 | 05/18/2018 | Claimant(s): Paul Garrett
Claimant Lawyers(s): Daniel B. Meyer
Respondent(s): Elaine Andreas, Lamoine Andreas
Respondent Lawyers(s): Lamoine (Lee) Andreas
Arbitrator(s): Michael S. Matek, William A. Stephenson, Eileen Joan Carpenter
Hearing Site: Denver, CO
| | Expungement |
| 16-02100 | 03/22/2018 | Claimant(s): James Mirgliotta, The Estate of Bette Mirgliotta
Claimant Lawyers(s): Robert J. Dubyak
Respondent(s): Christopher Cervino, Larry Werbel, Wilson-Davis & Company.
Respondent Lawyers(s): Christopher Michael Cervino, Larry Steven Werbel, Mark O. Van Wagoner
Arbitrator(s): Michael S. Matek, Robert M Lustig, Kevin Brodar
Hearing Site: Cleveland, OH
| | $845,000 |
| 16-02235 | 10/16/2017 | Claimant(s): Helen Luca, Robert McCluskey
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Christine Mallul, David A. Noyes & Company
Respondent Lawyers(s): Christine Catherine Mallul, Robert L. Cram
Arbitrator(s): Michael S. Matek, Leonard Arthur Nelson, Bradley Howard Wulfsohn
Hearing Site: Chicago, IL
| | $0 |
| 15-03367 | 06/06/2017 | Claimant(s): John Ebersole, Patti Ebersole
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Michael S. Matek, Kevin R. Zehe, Ronnie Lou Marquez-Posey
Hearing Site: Cleveland, OH
| | Stipulated Award |
| 15-02437 | 09/15/2016 | Claimant(s): Roger Quick, Roger A. Quick Irrevocable Trust
Claimant Lawyers(s): Brian C. Haussmann
Respondent(s): Morgan Stanley, Stuart Zimmerman
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 14-01298 | 11/05/2015 | Claimant(s): Fredrik Gabriel
Claimant Lawyers(s): Edward R. Moor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Michael S. Matek, Lee H. Goodman, Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 14-02069 | 09/01/2015 | Claimant(s): Charles Rayburn, Pamela Rayburn
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TradeKing
Respondent Lawyers(s): Paul McCurdy
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $2,500 |
| 13-01838 | 11/12/2014 | Claimant(s): Robert Kenneke
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Fifth Third Securities., Mark Rottler
Respondent Lawyers(s): Christen M. Steimle
Arbitrator(s): Michael S. Matek, Thomas F. Mahoney, Michael David Bohne
Hearing Site: Chicago, IL
| | $100,000 |
| 11-00632 | 10/03/2012 | Claimant(s): David Mengo
Claimant Lawyers(s): David A. Mengo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | Expungement |
