| 16-02693 | 10/25/2017 | Claimant(s): Raymond Seibert
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Sherry Brooker, Cetera Financial Specialists LLC
Respondent Lawyers(s): Andrew Dorman
Arbitrator(s): Leon Fox, Michael Nathanson, Patrick Moran
Hearing Site: Chicago, IL
|  | $0 |
| 16-02475 | 10/23/2017 | Claimant(s): Bonita Michalec, Daniel Michalec
Claimant Lawyers(s): Phil Michalec
Respondent(s): David Wozniak, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ronald Kane
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 16-02235 | 10/16/2017 | Claimant(s): Helen Luca, Robert McCluskey
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Christine Mallul, David A. Noyes & Company
Respondent Lawyers(s): Christine Catherine Mallul, Robert L. Cram
Arbitrator(s): Michael S. Matek, Leonard Arthur Nelson, Bradley Howard Wulfsohn
Hearing Site: Chicago, IL
| | $0 |
| 17-00067 | 10/06/2017 | Claimant(s): William Smith
Claimant Lawyers(s): William Kenneth Smith
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Booker Coleman
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 16-03724 | 10/05/2017 | Claimant(s): Rick Konecny
Claimant Lawyers(s): Rick Douglas Konecny
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Renan Sugarman
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
| | |
| 16-02151 | 10/04/2017 | Claimant(s): Shawn Walton
Claimant Lawyers(s): Shawn Walton
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 16-03550 | 09/01/2017 | Claimant(s): Calvin Knight
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Hudson Knight Securities.
Respondent Lawyers(s): Jonathan Hudson Webb
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
| | |
| 16-00026 | 08/17/2017 | Claimant(s): David Slagter, William Davis
Claimant Lawyers(s): James A. McGurk
Respondent(s): Richard Babjak, World Equity Group.
Respondent Lawyers(s): Matthew C. Boba
Arbitrator(s): John E. Parkes, Irving S. Capitel, Thomas Michael Genovese
Hearing Site: Chicago, IL
| | |
| 16-02884 | 08/10/2017 | Claimant(s): Peter Klein
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Rothschild Investment Corporation
Respondent Lawyers(s): James B. Koch
Arbitrator(s): Joseph V. Simeri
Hearing Site: Chicago, IL
| | |
| 17-00115 | 08/10/2017 | Claimant(s): Harold Kaplan
Claimant Lawyers(s): Steven G Storch
Respondent(s): Legend Securities.
Respondent Lawyers(s): Salvatore C. Caruso
Arbitrator(s): Sanford J. Prizant, Epaminondas Eddie Manelis, Lisa M. Krimen
Hearing Site: Chicago, IL
| | $0 |
