| 14-02430 | 09/06/2016 | Claimant(s): Michael Consolo
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Michael Nathanson, Raymond P. Buschmann
Hearing Site: Chicago, IL
|  | Expungement |
| 14-03372 | 08/30/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John F. Marsh
Respondent(s): Carolyn Kitzel, J.P. Morgan Securities
Respondent Lawyers(s): Christopher S. Griesmeyer, Jack J. Carriglio
Arbitrator(s): Kevin J. Conway, Michael Steinberg, Deberah Singer Bernstein
Hearing Site: Chicago, IL
| | |
| 16-00140 | 08/26/2016 | Claimant(s): James Peters
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Cassandra Woodward, Jeffery Fanning, Marlon Cole, Liberty Partners Financial Services
Respondent Lawyers(s): Jeffrey A. Fanning, Executive Rep., Stephanie D. Delia
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | $300 |
| 15-02270 | 08/24/2016 | Claimant(s): Douglas McConnell
Claimant Lawyers(s): Jerome F. Crotty
Respondent(s): McClendon, Morrison & Partners.
Respondent Lawyers(s): Patrick J. Keating
Arbitrator(s): Frank Samuelsohn, Jonathan B. Gilbert, Martin A. Duncan
Hearing Site: Chicago, IL
| | |
| 15-00398 | 08/10/2016 | Claimant(s): Dan Malauskas, Sharon Malauska
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Anastasios Belesis, Baris Cabalar, John Thomas Financial
Respondent Lawyers(s): Anthony C. Varbero, Thomas J. McCabe, Tom Belesis
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Stipulated Award |
| 14-01200 | 07/27/2016 | Claimant(s): Henry Johansen
Claimant Lawyers(s): David Liebrader
Respondent(s): George Carris, Joseph Principe, Vladimir Belyaev, John Carris Investments LLC
Respondent Lawyers(s): George William Carris, Joseph Principe, Vladimir Belyaev
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $10,560 |
| 15-03072 | 07/27/2016 | Claimant(s): John Heraty IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): David Geake, Sagepoint Financial.
Respondent Lawyers(s): David A. Baugh, Jodi S. Tesser
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 15-03253 | 07/26/2016 | Claimant(s): Leonard Johnson
Claimant Lawyers(s): Leonard T Johnson
Respondent(s): Ryan Moratti
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 11-02019 | 07/26/2016 | Claimant(s): John Kelly, Ruth Kelly
Claimant Lawyers(s): James Borcia
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Leon Fox, Marilee Roberg, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $0 |
| 12-02967 | 07/22/2016 | Claimant(s): Edward Heil, Vincent Incopero
Claimant Lawyers(s): Vincent J. Incopero
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Theodore W. Wrobleski, Mark L Miller, Robert J. Albers
Hearing Site: Chicago, IL
| | Expungement |
