| 16-02234 | 04/14/2017 | Claimant(s): Nancy Montelbano
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Morgan Stanley, Stuart Zimmerman, Thomas Wielgos
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
|  | $225 |
| 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 |
| 16-00310 | 04/06/2017 | Claimant(s): John Summerfield, John A. Summerfield IRA, John A. Summerfield Trust
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona Esq.
Arbitrator(s): Howard Z. Gopman, Michael S. Jordan, Seymour Andrew Newman
Hearing Site: Chicago, IL
| | Expungement |
| 16-02894 | 04/05/2017 | Claimant(s): Edward Camp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CFD Investments., Spectrum Investment Services.
Respondent Lawyers(s): Mary Lou Sanders, Matthew Bahrenburg
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | |
| 16-02843 | 03/20/2017 | Claimant(s): Bernard DelGiorno, Nicholas Lomaglio
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 15-03181 | 03/14/2017 | Claimant(s): Gary Matt
Claimant Lawyers(s): John Muldoon
Respondent(s): Anthony Minerva, James Bernthal, Wesley Clinton
Respondent Lawyers(s): Anthony Minerva, James Rhys Bernthal, Wesley Owen Clinton
Arbitrator(s): John D. Crawford, Sal Presti, Robert J. Albers
Hearing Site: Chicago, IL
| | Expungement |
| 16-03595 | 03/06/2017 | Claimant(s): Sean Moran
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 16-00222 | 02/09/2017 | Claimant(s): Bruce Pritz, Edward Edington, Jerry Oshinski, Lorraine Pritz, Robin Oshinski, Wallace Pritz, Edward Edington IRA, Jerry Oshinski IRA, Robin Oshinski IRA
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Louis Scherschel, Sigma Financial Corporation, Sigma Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Stephany D. McLaughlin
Arbitrator(s): James D. Adducci, Leon Fox, Edward John Zulkey
Hearing Site: Chicago, IL
| | Expungement |
| 16-02906 | 01/31/2017 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher Manuel Rodriguez
Respondent(s): Patrick Phillips
Respondent Lawyers(s): Patrick Jermaine Phillips
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 16-01803 | 01/30/2017 | Claimant(s): Thomas Souran
Claimant Lawyers(s): Thomas C. Souran
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
| | $325 |
