| 12-02226 | 04/02/2014 | Claimant(s): Keith Lopez
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): David Hanna, David Unsworth, Jamal Sampson, Legend Merchant Group.
Respondent Lawyers(s): David G. Hanna, Jamal Hiram Sampson, Timothy Feil
Arbitrator(s): John S. Burke, Darlene L. Redmond, Olusola Olayinka Oyeyemi
Hearing Site: Chicago, IL
|  | Expungement |
| 13-02030 | 03/19/2014 | Claimant(s): Citigroup Global Markets., John Serna, Steven Forde
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Arthur Rowland, Cora Rowland
Respondent Lawyers(s): Tauya Johnson
Arbitrator(s): Donald W. McKenzie, Pamela A. Kentra, Craig D. Cook
Hearing Site: Chicago, IL
| | Expungement |
| 13-02263 | 03/19/2014 | Claimant(s): Kelly Curran
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Bart Ellis, Ameriprise Financial Services.
Respondent Lawyers(s): Bart James Ellis, Susan E. Sheely
Arbitrator(s): Carol McHugh Sanders
Hearing Site: Chicago, IL
| | $43,444 |
| 13-02641 | 03/19/2014 | Claimant(s): Junho Baik
Claimant Lawyers(s): Junho Baik
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): John D. Crawford
Hearing Site: Chicago, IL
| | $38 |
| 12-03899 | 03/10/2014 | Claimant(s): Harold Edmonson
Claimant Lawyers(s): Erwin Cohn
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Jack J. Herman, Susan L. Walker, James A. Murphy
Hearing Site: Chicago, IL
| | $14,629 |
| 13-00369 | 02/28/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Tobias E. Schlueter
Respondent(s): Joyce Guccione
Respondent Lawyers(s): Randall B. Gold
Arbitrator(s): Lee H. Goodman, Daniel Baruch Lidawer, Gerald F DeNotto
Hearing Site: Chicago, IL
| | |
| 13-00013 | 02/26/2014 | Claimant(s): Joan Pawloski
Claimant Lawyers(s): George S. Bellas
Respondent(s): H. Anderson, Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Michael I. White, Elizabeth C. Simon, Scott Stauffer
Hearing Site: Chicago, IL
| | $0 |
| 13-00188 | 02/21/2014 | Claimant(s): Ghaleb Azroui
Claimant Lawyers(s): Ghaleb K Azroui
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): John E. Parkes, G. Gale Roberson, Jerome F. Crotty
Hearing Site: Chicago, IL
| | $0 |
| 13-01307 | 02/20/2014 | Claimant(s): Richard Hakanson
Claimant Lawyers(s): Erwin Cohn
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Stephen C. Esposito
Hearing Site: Chicago, IL
| | $0 |
| 12-03807 | 02/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeff Lesniewicz
Respondent Lawyers(s): Brian H. Sanchez
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | |
