| 16-03124 | 04/10/2017 | Claimant(s): Leslie Goldstein
Claimant Lawyers(s): Lisa M. Serra
Respondent(s): Albert Clark
Respondent Lawyers(s): Albert F. Clark
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 15-02080 | 10/11/2016 | Claimant(s): BMO Harris Financial Advisors.
Claimant Lawyers(s): Maria Kreiter
Respondent(s): Neil Moscicki, Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Frank Samuelsohn, Thomas F. Mahoney, Michael F. Jordan
Hearing Site: Chicago, IL
| | |
| 15-01145 | 08/10/2016 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Gerald Burns
Respondent(s): Christian Harkness
Respondent Lawyers(s): Stephen L. Morgan
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
| | |
| 13-02930 | 09/24/2015 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Christopher Cochrane, Donald Slye
Respondent Lawyers(s): Christopher S. Griesmeyer
Arbitrator(s): Michael F. Jordan, Dennis M. Selby, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
| | |
| 13-00456 | 05/15/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Steven Meyer
Respondent Lawyers(s): Eric S. Richards
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Susan H. Schleisner
Hearing Site: Milwaukee, WI
| | |
| 08-03364 | 02/19/2014 | Claimant(s): David Abbott, James Abbott, Michael Abbott
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Charles Lane, RBC Capital Markets Corporation
Respondent Lawyers(s): Charles A. Lane, Ronald P. Kane
Arbitrator(s): Michael F. Jordan, Stephen C. Esposito, Suanne F. Goldman
Hearing Site: Chicago, IL
|  | $201,240 |
| 12-03492 | 07/17/2013 | Claimant(s): Jay Heller
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 11-03373 | 05/10/2013 | Claimant(s): Crown Metal Employee Manufacturing
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 09-05758 | 06/30/2011 | Claimant(s): Don Miller, Donald C. Miller Charles Schwab & Co. In
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 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
| | |
