| 13-02007 | 11/26/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Matthew Westley
Respondent Lawyers(s): Desmond P. Curran
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | |
| 13-01838 | 11/12/2014 | Claimant(s): Robert Kenneke
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Fifth Third Securities., Mark Rottler
Respondent Lawyers(s): Christen M. Steimle
Arbitrator(s): Michael S. Matek, Thomas F. Mahoney, Michael David Bohne
Hearing Site: Chicago, IL
|  | $100,000 |
| 13-03372 | 11/05/2014 | Claimant(s): Harold Welser
Claimant Lawyers(s): Harold C. Welser
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
| | $0 |
| 13-02526 | 10/21/2014 | Claimant(s): Grace Whang, Grace B. Whang Revocable Trust
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Genevieve Mar, Woodbury Financial Services.
Respondent Lawyers(s): Cory D. Olson, Eric A. Michaels
Arbitrator(s): Sheldon I. Saitlin, Donald M. Thompson, Patrick Richard Stoker
Hearing Site: Chicago, IL
| | Expungement |
| 14-00489 | 10/10/2014 | Claimant(s): Thomas Salvino
Claimant Lawyers(s): James L. Kopecky
Respondent(s): William Blair & Company L.L.C.
Respondent Lawyers(s): Arthur Simon
Arbitrator(s): Stephen C. Esposito, Howard B. Silverman, Marcia Bonita Gevers
Hearing Site: Chicago, IL
| | |
| 13-02543 | 10/06/2014 | Claimant(s): David Gordon
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): James Cox
Respondent Lawyers(s): Gabriella Moretti
Arbitrator(s): Peter Ordower, Sanford J. Prizant, Mark L Miller
Hearing Site: Chicago, IL
| | |
| 13-02841 | 10/02/2014 | Claimant(s): Michael Magruder
Claimant Lawyers(s): Michael W. Magruder
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | $300 |
| 13-01787 | 09/12/2014 | Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Richard Landi, Robert Mather, Roger Leibowitz, RBC Capital Markets LLC, Allied Beacon Partners.
Respondent Lawyers(s): Debra A. Jenks, Ronald Kane, Steven S. Biss
Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Stipulated Award |
| 13-03019 | 09/08/2014 | Claimant(s): Chris Rones
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): David J. Langseth, Mitchell Lee Marinello, Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 12-03494 | 08/19/2014 | Claimant(s): Craig Urban
Claimant Lawyers(s): Craig B. Urban
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Anna Wermuth
Arbitrator(s): Rody P. Biggert, Raymond P. Buschmann, Harvey R. Herman
Hearing Site: Chicago, IL
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