| 13-03636 | 03/22/2016 | Claimant(s): Cliqusean Green
Claimant Lawyers(s): Erin E. Hanson
Respondent(s): Ameriprise Financial Services., American Express Financial Advisors
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Michael S. Matek, Donald W. McKenzie, Rita J. Jacyna Curley
Hearing Site: Chicago, IL
| | |
| 14-03140 | 03/18/2016 | Claimant(s): Sun Trading LLC
Claimant Lawyers(s): Jordan P. Vick
Respondent(s): Kieran Fitzgerald
Respondent Lawyers(s): Harry W. Lipman
Arbitrator(s): Leon Fox, Lee H. Goodman, Georgia K. Fountoulakis
Hearing Site: Chicago, IL
| | |
| 15-00692 | 03/17/2016 | Claimant(s): Yaser Moustafa
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Romano Brothers And Company
Respondent Lawyers(s): William B. Berndt
Arbitrator(s): Thomas F. Mahoney, G. Gale Roberson, Daniel R. Formeller
Hearing Site: Chicago, IL
|  | $155,000 |
| 15-00273 | 03/10/2016 | Claimant(s): Elaine Hornyak IRA, Steven Hornyak IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Radcliffe Daly
Respondent Lawyers(s): Radcliffe Robert Daly
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $15,769 |
| 15-00934 | 03/08/2016 | Claimant(s): Jay Maltby
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Ray J. Grzebielski, James D. Adducci, Harry Edward Resis
Hearing Site: Chicago, IL
| | |
| 15-00193 | 02/25/2016 | Claimant(s): Robert Wagner, Vicki Wagner
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Henry Kulig, FSC Securities Corporation
Respondent Lawyers(s): Craig H. Kuglar
Arbitrator(s): Daniel R. Formeller, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | $70,333 |
| 13-00385 | 02/24/2016 | Claimant(s): Kevin Taalman
Claimant Lawyers(s): Lou Karnezis
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | |
| 14-02529 | 02/23/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gary Torrey
Respondent Lawyers(s): Gary Torrey
Arbitrator(s): William M. Koziol
Hearing Site: Chicago, IL
| | |
| 14-03432 | 02/05/2016 | Claimant(s): Jeffrey Howard
Claimant Lawyers(s): Hal J. Wood
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Steven D. Hurd
Arbitrator(s): Mitchell Lee Marinello, John M. Kramer, Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 13-01645 | 02/04/2016 | Claimant(s): Antonio Cali, Kathryn Cali
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Wells Fargo Advisors, Robert Batchen
Respondent Lawyers(s): Nancy L. Hendrickson, Nuviah Shirazi
Arbitrator(s): John D. Crawford, Frank A. Dusek, Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
