| 14-00001 | 02/26/2015 | Claimant(s): Steven Carlson
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Melanie Black Dubis
Arbitrator(s): Leonard E. Benade, Fred Kelner, Lynda Joyce Howell
Hearing Site: Raleigh, NC
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| 13-01751 | 01/16/2014 | Claimant(s): James Hintz
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Klaus Siepmann, Robert Mather, Allied Beacon Partners., Beacon Acquisition Partners.
Respondent Lawyers(s): Christopher P. Parrington
Arbitrator(s): William E. Hartsfield, David B. Dyer, Donald C. Hood
Hearing Site: Dallas, TX
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| 12-03463 | 05/31/2013 | Claimant(s): Joanna N. Sobran, IRA
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Julie Casserly
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
|  | Expungement |
| 11-02747 | 05/21/2013 | Claimant(s): Timothy Gautney, Aura Asset Management., Aura Financial Services.
Claimant Lawyers(s): John G Dana
Respondent(s): James Webb, Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb, Ronald M. Amato
Arbitrator(s): Lita S Menkin, Cherie J. Jolly, Charles M. Thompson
Hearing Site: Birmingham, AL
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| 10-04034 | 12/14/2011 | Claimant(s): Thomas Styczen
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Wells Fargo Advisors, Robert Schrieber
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Jonathan Gorman Cook, Jonathan B. Gilbert, G. Marshall Abbey
Hearing Site: Chicago, IL
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| 10-03345 | 07/06/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Stuart Pearl
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Donald W. Cohen
Hearing Site: Chicago, IL
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| 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
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| 09-01613 | 12/14/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Joshua R. Pini
Respondent(s): Edward Walterhouse
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Howard Mark Klausmeier, Roman S. Gribbs, Phillip I. Levin
Hearing Site: Detroit, MI
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| 08-02295 | 01/05/2010 | Claimant(s): Thomas Engelhard
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Hartford Equity Sales Copany Inc.
Respondent Lawyers(s): Peter R. Bulmer
Arbitrator(s): Thomas F. Mahoney, Kenneth J. Good, Harvey R. Herman
Hearing Site: Chicago, IL
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| 08-00791 | 06/08/2009 | Claimant(s): Michael Grimes, Financial Solutions and Associates.
Claimant Lawyers(s): Steve W. Koslovsky
Respondent(s): Barrington Capital Management.
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Julius Z. Frager, Mark E. Kessinger, David B. Lacks
Hearing Site: St. Louis, MO
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