| 18-02179 | 12/11/2019 | Claimant(s): Mark Munizzi
Claimant Lawyers(s): Steven P Gomberg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Donald M. Thompson, Craig D. Cook, Lisa M. Krimen
Hearing Site: Chicago, IL
| | |
| 13-02544 | 07/12/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Rick Konecny
Respondent Lawyers(s): Rick Douglas Konecny
Arbitrator(s): Michael S. Matek, Michael F. Jordan, Craig D. Cook
Hearing Site: Chicago, IL
| | |
| 13-02030 | 03/19/2014 | Claimant(s): Citigroup Global Markets., John Serna, Steven Forde
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Arthur Rowland, Cora Rowland
Respondent Lawyers(s): Tauya Johnson
Arbitrator(s): Donald W. McKenzie, Pamela A. Kentra, Craig D. Cook
Hearing Site: Chicago, IL
| | Expungement |
| 09-01494 | 06/29/2010 | Claimant(s): Kenneth Iwanicki, Penelope Iwanicki
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie, President
Arbitrator(s): Robert W. Edler, Theodore M. Utchen, Craig D. Cook
Hearing Site: Chicago, IL
|  | $0 |
| 08-04460 | 12/15/2009 | Claimant(s): Hilary Gibbons, Joseph Gibbons
Claimant Lawyers(s): Joseph H. Gibbons
Respondent(s): Citigroup Global Markets., Jay Hesdorffer, Marietta Hesdorffer, Michael Coleman
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Robert W. Edler, Ralph M. Goren, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
| 08-00672 | 12/02/2009 | Claimant(s): Dan Camphausen, Edmund Templeton, Gerald Tahtinen, Larry Myhre, OADS, INC., Heidi Sparacino, IRA, Judith Meyers, Bartlett and Doris Richards, Dennis and Heidi Sparacino, Bonnie Meyers, Indiv & as Trustee of, Shirely Wong Profit Sharing Trust, The Gerald and Mary Dassow Trust
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Thomas P. Yardley
Arbitrator(s): Ralph M. Goren, Theodore L. Leeb, Craig D. Cook
Hearing Site: Chicago, IL
| | $174,766 |
| 06-05209 | 05/30/2008 | Claimant(s): Carol Marubio, Richard Marubio
Claimant Lawyers(s): Mark P. Loftus
Respondent(s): James Sims, Robert Thurlby, MetLife Securities.
Respondent Lawyers(s): Penelope M. Taylor
Arbitrator(s): Mary Beth Wheeler, David John Diersen, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
