| 13-01326 | 08/08/2014 | Claimant(s): Oral Sekendur
Claimant Lawyers(s): Oral Sekendur
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Frederic M. Rizzo, Ralph M. Goren, Michael J. Rappa
Hearing Site: Chicago, IL
|  | $0 |
| 14-00689 | 08/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 13-03661 | 07/02/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): Kenneth Koger
Respondent Lawyers(s): Kenneth Ray Koger
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
| | |
| 13-03694 | 06/24/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kris Stelzner
Respondent Lawyers(s): Kris Stanley Stelzner
Arbitrator(s): G. Marshall Abbey
Hearing Site: Chicago, IL
| | |
| 12-03694 | 06/20/2014 | Claimant(s): Clara Lenz, Friedel Lenz
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kraig Mickelsen, Ausdal Financial Partners.
Respondent Lawyers(s): Gara Seagraves, Wendy S. Menghini
Arbitrator(s): Robert S. Sugarman, Philip J. Glick, Margaret Ann Angelucci
Hearing Site: Chicago, IL
| | Expungement |
| 13-00888 | 06/20/2014 | Claimant(s): Trainor Trucking.
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | $0 |
| 12-04215 | 06/10/2014 | Claimant(s): Randall Auker
Claimant Lawyers(s): Stacie H. Rosenzweig
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): James D. Adducci, Kenneth J. Good, Thomas Michael Genovese
Hearing Site: Chicago, IL
| | |
| 12-01243 | 06/04/2014 | Claimant(s): William Eglar
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Susanne J. Hollander, Marilee Roberg, Irving A. Chesler
Hearing Site: Chicago, IL
| | Expungement |
| 13-00583 | 05/16/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Ernest Newman
Respondent Lawyers(s): Thomas F. Asch
Arbitrator(s): Jeffrey W. Finke, Marilee Roberg, Gregory Allen Nie
Hearing Site: Chicago, IL
| | |
| 13-00103 | 04/25/2014 | Claimant(s): Roslyn Grodzin
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Sagepoint Financial., Ronald Smith
Respondent Lawyers(s): Courtney R. Reid, Ronald Smith
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $42,808 |
