| 13-01787 | 09/12/2014 | Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Richard Landi, Robert Mather, Roger Leibowitz, RBC Capital Markets LLC, Allied Beacon Partners.
Respondent Lawyers(s): Debra A. Jenks, Ronald Kane, Steven S. Biss
Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann
Hearing Site: Chicago, IL
|  | Stipulated Award |
| 14-00023 | 01/27/2014 | Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): RBC Capital Markets
Respondent Lawyers(s): Todd W. Schnell
Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Stipulated Award |
| 11-02908 | 12/09/2013 | Claimant(s): Virginia Larson
Claimant Lawyers(s): James J. Moylan
Respondent(s): Darrell Sitarz, National Securities Corporation, Mark Bruscianelli, Navisis Financial
Respondent Lawyers(s): Company President, Dave Gaba, James J. Moylan, James Barbee
Arbitrator(s): Mary A. Duffy, Epaminondas Eddie Manelis, Robert Alan Murphy
Hearing Site: Chicago, IL
| | $219,070 |
| 11-04375 | 12/03/2012 | Claimant(s): Wayne Jensen
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kraig Mickelsen, Ausdal Financial Partners.
Respondent Lawyers(s): Jeff Ziesman
Arbitrator(s): Daniel R. Formeller, Mary A. Duffy, David John Diersen
Hearing Site: Chicago, IL
| | Expungement |
| 10-05681 | 06/21/2012 | Claimant(s): James Gibbs
Claimant Lawyers(s): James P. Baker
Respondent(s): Max Aten, Valic Financial Advisors.
Respondent Lawyers(s): Randall L. Mitchell
Arbitrator(s): Sheldon I. Saitlin, Mary A. Duffy, Michael Stephen Knight
Hearing Site: Chicago, IL
| | |
| 08-00863 | 12/17/2008 | Claimant(s): Jerome Albert Trust uad 10/23/1986
Claimant Lawyers(s): John J. Muldoon
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter Ordower, Mary A. Duffy, Howard David Goodfriend
Hearing Site: Chicago, IL
| | $12,250 |
