| 16-00783 | 07/31/2017 | Claimant(s): Joseph Devaney, Mary Devaney
Claimant Lawyers(s): Adrian Mendoza
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
|  | Expungement |
| 15-00283 | 07/17/2017 | Claimant(s): Mark Farwell
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): LPL Financial LLC, Robert Kennedy, Spencer Lewis, Summer Pretzer, Thomas Estridge
Respondent Lawyers(s): David Baugh
Arbitrator(s): Rody P. Biggert, Laura M. Nelson, Michael Cotter Greenfield
Hearing Site: Chicago, IL
| | |
| 16-01194 | 07/13/2017 | Claimant(s): Rick Konecny
Claimant Lawyers(s): Rick Douglas Konecny
Respondent(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Steven H. Vogel, Susanne J. Hollander, G. Marshall Abbey
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
| | |
| 15-00186 | 07/12/2017 | Claimant(s): Jose Valencia
Claimant Lawyers(s): Glen R. Gaffney
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): William F. Dugan
Arbitrator(s): Thomas F. Mahoney, Eugene N. Halladay, Roger Keith MacDougall
Hearing Site: Chicago, IL
| | |
| 16-01564 | 06/26/2017 | Claimant(s): Daniel Oleary, Jennifer Oleary, Patrick Oleary, Sandra Oleary
Claimant Lawyers(s): Daniel Gwertzman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Renan I. Sugarman
Arbitrator(s): Mark L Miller, Robert S. Sugarman, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
| 16-01476 | 06/15/2017 | Claimant(s): James Holstein Rev. Trust dated 10/24/14, Lisa Holstein Rev. Trust dated 10/24/14
Claimant Lawyers(s): John C. Barlow
Respondent(s): Chicago Partners Investment Group LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Kenneth N. Adamson, Jerome Arthur Connolly, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
| 15-02672 | 05/05/2017 | Claimant(s): Britta Nosbaum, Finn G. Nosbaum Trust, Lillian R. Nosbaum Trust
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Stephen L. Gardner
Arbitrator(s): Theodore W. Wrobleski, Lynn Hirschfeld Brahin, Irving S. Capitel
Hearing Site: Chicago, IL
| | $0 |
| 16-02966 | 05/05/2017 | Claimant(s): The Estate of Helen Nottingham
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Fifth Third Securities., Kevin Benjamin
Respondent Lawyers(s): Christen M. Steimle
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $0 |
| 16-01208 | 04/27/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John F. Marsh
Respondent(s): J.P. Morgan Securities, Qamil Dervishi
Respondent Lawyers(s): Jeffrey B. Greenspan
Arbitrator(s): Michael F. Jordan, Howard Z. Gopman, Steven M. Bylina
Hearing Site: Chicago, IL
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