| 12-03652 | 07/25/2013 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Craig A Vollono
Respondent(s): Bruce Hutson
Respondent Lawyers(s): Bruce Parish Hutson
Arbitrator(s): Robert S. Sugarman
Hearing Site: Milwaukee, WI
| | |
| 11-01411 | 11/26/2012 | Claimant(s): James Berggren, Patricia Berggren
Claimant Lawyers(s): James J. Moylan
Respondent(s): Hugo Long, Morgan Stanley & Co.
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Robert C. Bonges, Robert S. Sugarman, Ronald A. Lavery
Hearing Site: Chicago, IL
|  | $52,065 |
| 12-01395 | 09/12/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I Sugarman
Respondent(s): Timothy Sennott
Respondent Lawyers(s): Timothy Madden Sennott
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | |
| 09-06958 | 12/28/2011 | Claimant(s): Tall Trees
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Cole Partners, Lynn Sieben
Respondent Lawyers(s): Daniel D. White, Thomas F. Burke
Arbitrator(s): Robert S. Sugarman, Champ W. Davis, Abe Jay Goldsmith
Hearing Site: Chicago, IL
| | Expungement |
| 11-00521 | 12/23/2011 | Claimant(s): Ghaleb Azroui
Claimant Lawyers(s): Ghaleb Azroui
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Robert S. Sugarman, Theodore L. Leeb, Robert B. Schmidt
Hearing Site: Chicago, IL
| | $0 |
| 09-01692 | 06/03/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Travis Sheets
Respondent Lawyers(s): Travis N. Sheets
Arbitrator(s): Michael F. Jordan, Robert S. Sugarman, Suanne F. Goldman
Hearing Site: Chicago, IL
| | |
| 10-01036 | 02/25/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Palmer
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Robert S. Sugarman, Richard R. Bicek, Elayne Morgan
Hearing Site: Chicago, IL
| | |
| 08-04774 | 04/01/2010 | Claimant(s): Joseph Vanek
Claimant Lawyers(s): Alberto Rodriguez
Respondent(s): UBS Securities LLC, Douglas Eaton, UBS Financial Services Inc., UBS AG
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John F Fennig, Robert S. Sugarman, Michael Howard Rosenbloom
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 07-02841 | 09/25/2009 | Claimant(s): Anthony McPherron, Specialty Orthopedics.
Claimant Lawyers(s): Anthony A. McPherron
Respondent(s): Duane Doroh, Jay Jensen, Philip Bieghler, Investment Planners., Sammons Securities Company
Respondent Lawyers(s): Damian A. Laugher, Joanna J. Cline, Kenneth F. Berg, Martin Q. Ryan, Todd M. Jackett
Arbitrator(s): Peter Ordower, Robert S. Sugarman, Ronald A. Lavery
Hearing Site: Chicago, IL
| | $0 |
