| 14-02620 | 08/04/2015 | Claimant(s): Amanda Dollinger, Matthew Dollinger
Claimant Lawyers(s): Marc S. Mayer
Respondent(s): UBS Financial Services Inc., Ryan Lindgren
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Donald M. Thompson
Hearing Site: Chicago, IL
|  | Expungement |
| 13-01981 | 07/21/2015 | Claimant(s): David Turza, Erin Turza as custodian for Lauren Turza, Erin Turza as custodian for Samantha Tur
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc., Richard Ceffalio
Respondent Lawyers(s): Angela A. Turiano, Michael Naccarato, Stephany D. McLaughlin
Arbitrator(s): Jerome F. Crotty, Lynn Hirschfeld Brahin, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 14-03596 | 07/14/2015 | Claimant(s): Blaylock Beal Van
Claimant Lawyers(s): Eric V Standifer
Respondent(s): Adrienne Archia
Respondent Lawyers(s): Adrienne J. Archia
Arbitrator(s): Samuel B. Garber
Hearing Site: Chicago, IL
| | |
| 14-03241 | 07/14/2015 | Claimant(s): Samuel Lam
Claimant Lawyers(s): Mark Maddox
Respondent(s): Robert Gianchiglia, Ameritas Investment Corp., Investors Capital Corp.
Respondent Lawyers(s): Gara M. Seagraves, James A. McGovern
Arbitrator(s): James F. Carlson, Angela R. Murphy, Martin A. Duncan
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 13-03651 | 06/30/2015 | Claimant(s): Joseph Kapshandy
Claimant Lawyers(s): Eamon P. Kelly
Respondent(s): Timothy Kelly
Respondent Lawyers(s): Bradley P. Colborn
Arbitrator(s): Daniel R. Formeller, Champ W. Davis, Pamela A. Kentra
Hearing Site: Chicago, IL
| | Expungement |
| 15-00177 | 06/23/2015 | Claimant(s): Marquette Bank
Claimant Lawyers(s): William Hackney
Respondent(s): Jesse Zaragoza
Respondent Lawyers(s): Jesse Zaragoza
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
| | |
| 14-03496 | 06/12/2015 | Claimant(s): Darryl Moskowitz
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $300 |
| 14-03177 | 06/11/2015 | Claimant(s): Charles Taliaferro
Claimant Lawyers(s): Charles A. Taliaferro
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin Fair
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 14-03876 | 06/11/2015 | Claimant(s): Chad Waterhouse
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): William M. Getzoff
Hearing Site: Chicago, IL
| | $0 |
| 14-00427 | 05/07/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Anthony Dutter
Respondent Lawyers(s): Anthony Ryan Dutter
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
