| 15-00681 | 11/01/2016 | Claimant(s): The Last Will & Testament of R.Gaffney
Claimant Lawyers(s): Nicholas P Iavarone
Respondent(s): Morgan Stanley, Richard Colbert
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Susan L. Walker, Shelby Webb, Walter Patrick Giblin
Hearing Site: Chicago, IL
|  | $0 |
| 16-00141 | 10/27/2016 | Claimant(s): Jennifer Schall
Claimant Lawyers(s): Jennifer Childe Schall
Respondent(s): Morgan Stanley, Liliana Paz-Franco
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | $300 |
| 15-02080 | 10/11/2016 | Claimant(s): BMO Harris Financial Advisors.
Claimant Lawyers(s): Maria Kreiter
Respondent(s): Neil Moscicki, Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Frank Samuelsohn, Thomas F. Mahoney, Michael F. Jordan
Hearing Site: Chicago, IL
| | |
| 15-02212 | 10/05/2016 | Claimant(s): Leaman Ames, Pamela Ames
Claimant Lawyers(s): Mitchell S. Chaban
Respondent(s): Brent Hurt, RBC Capital Markets LLC, Redridge Securities.
Respondent Lawyers(s): Brent Hurt, Ronald P. Kane
Arbitrator(s): Robert W. Edler, Marilee Roberg, Jules Ira Crystal
Hearing Site: Chicago, IL
| | $430,824 |
| 16-00520 | 09/30/2016 | Claimant(s): Daniel Conidi
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
| | $600 |
| 14-03257 | 09/19/2016 | Claimant(s): Milton Flanagan
Claimant Lawyers(s): Stephany McLaughlin
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Moyenda M. Knapp
Arbitrator(s): Sheldon I. Saitlin, David J. Langseth, Scott E. Rexroad
Hearing Site: Chicago, IL
| | |
| 15-01229 | 09/19/2016 | Claimant(s): Dudley Brown
Claimant Lawyers(s): J. Patrick Fitzsimmons
Respondent(s): Blaylock Beal Van
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Peter Ordower, Michael Nathanson, Michael L. Weissman
Hearing Site: Chicago, IL
| | |
| 16-00920 | 09/19/2016 | Claimant(s): Wunderlich Securities.
Claimant Lawyers(s): James T. Ritt
Respondent(s): James Tolbert
Respondent Lawyers(s): James Allen Tolbert
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | |
| 15-02437 | 09/15/2016 | Claimant(s): Roger Quick, Roger A. Quick Irrevocable Trust
Claimant Lawyers(s): Brian C. Haussmann
Respondent(s): Morgan Stanley, Stuart Zimmerman
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 15-03355 | 09/13/2016 | Claimant(s): Wilbert Hamstra
Claimant Lawyers(s): Tina M. Bird
Respondent(s): National Securities Corporation, Nikolai Acevedo
Respondent Lawyers(s): Charles M. O'Rourke, Jay M. Israel
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
