| 18-02387 | 10/15/2018 | Claimant(s): Christopher Pfaff
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 17-02556 | 10/03/2018 | Claimant(s): Susan Radzinowicz
Claimant Lawyers(s): John F. Newell
Respondent(s): Morgan Stanley, Stephen Crane
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Elizabeth C. Simon, Mark W Solock, Michael John Gallagher
Hearing Site: Chicago, IL
|  | $0 |
| 18-00918 | 09/12/2018 | Claimant(s): Jeffry Kraus
Claimant Lawyers(s): Jeffrey Peter Kraus
Respondent(s): Daniel Davison
Respondent Lawyers(s): Daniel T. Davison
Arbitrator(s): Allan Robert Ettinger, Marcia Bonita Gevers, Diane Nauer
Hearing Site: Chicago, IL
| | Expungement |
| 17-01976 | 09/12/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): James Heilgeist
Respondent Lawyers(s): James Andrew Heilgeist
Arbitrator(s): Stuart D. Summers, Susanne J. Hollander, Carol Rivers
Hearing Site: Chicago, IL
| | |
| 17-02269 | 09/10/2018 | Claimant(s): GWYN I Mack Trust u/a dated 7/30/14
Claimant Lawyers(s): Lawrence W. Byrne
Respondent(s): Steven Below, U.S. Bancorp Investments.
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Theodore W. Wrobleski, Lynn Hirschfeld Brahin, Stephen Conrad Fedota
Hearing Site: Chicago, IL
| | $0 |
| 18-00799 | 09/08/2018 | Claimant(s): David Brown
Claimant Lawyers(s): Eric Litow
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | |
| 18-00698 | 08/31/2018 | Claimant(s): Mark Birringer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | |
| 18-01028 | 08/21/2018 | Claimant(s): Tyler Smith
Claimant Lawyers(s): Robert L. Hartley
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 17-00942 | 08/20/2018 | Claimant(s): David E. Vittori, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Theodore W. Wrobleski, Mark L Miller
Hearing Site: Chicago, IL
| | $0 |
| 18-00438 | 08/15/2018 | Claimant(s): Matthew Schultz
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Frank Schultz, Wells Fargo Advisors
Respondent Lawyers(s): Frank Helmut Schultz, Michael Naccarato
Arbitrator(s): Peter Ordower
Hearing Site: Chicago, IL
| | |
