| 12-00204 | 05/29/2013 | Claimant(s): Diane Wilkinson, Ernest Wilkinson, The Estate of Ernest O. Wilkinson, The Wilkinson Living Trust U/A 1/10/08
Claimant Lawyers(s): Carmen A. Gaspero
Respondent(s): Carl Birkelbach, Birkelbach Investment Securities.
Respondent Lawyers(s): James A. McGurk
Arbitrator(s): Robert P. Bramnik, Michael S. Jordan, Joseph A. Landa
Hearing Site: Chicago, IL
|  | $300 |
| 11-03457 | 05/28/2013 | Claimant(s): Abbe Heller, Howard Diamond
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): David Boudreau, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Theodore L. Leeb, Leonard Arthur Nelson, Olusola Olayinka Oyeyemi
Hearing Site: Chicago, IL
| | Expungement |
| 10-01778 | 05/21/2013 | Claimant(s): Annette Bosco, Diane Rubel, Louis Bosco, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust Dtd 6/25/96, The Bosco Family Trust Dtd 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): George Gilbert, James Mitchell, AIC., Community Bankers Securities, Waterford Investor Services.
Respondent Lawyers(s): Benjamin Skjold, Company President, George J. Gilbert, James Marvin Mitchell, Steven S. Biss
Arbitrator(s): Steven P. Gomberg, James F. Carlson, Michael S. Jordan
Hearing Site: Chicago, IL
| | $1,607,500 |
| 12-01907 | 05/15/2013 | Claimant(s): Nicholas Nayak
Claimant Lawyers(s): Peter J. Berman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): G. Marshall Abbey
Hearing Site: Chicago, IL
| | $20,648 |
| 11-03373 | 05/10/2013 | Claimant(s): Crown Metal Employee Manufacturing
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 11-00768 | 05/07/2013 | Claimant(s): Cathy Caire, Robert Caire
Claimant Lawyers(s): John S. Burke
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Miriam Bahcall
Arbitrator(s): Samuel B. Garber
Hearing Site: Chicago, IL
| | Expungement |
| 10-04592 | 04/29/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Jeffrey Wescott
Respondent Lawyers(s): Darrell J. Graham
Arbitrator(s): Leon Fox, Thomas H. Stone, David M. Zimberoff
Hearing Site: Chicago, IL
| | |
| 11-04305 | 04/26/2013 | Claimant(s): Ninos Andrews
Claimant Lawyers(s): Jonathan M Cyrluk
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Rachel B. Cowen
Arbitrator(s): Jerome F. Crotty, Jonathan Gorman Cook, Michael S. Jordan
Hearing Site: Chicago, IL
| | |
| 12-03141 | 04/16/2013 | Claimant(s): James Zastrow, UBS Financial Services Inc.
Claimant Lawyers(s): Payne L. Templeton
Respondent(s): Mirzi T. Maras Revocable Trust
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Robert W. Edler, Theodore W. Wrobleski, Michael Stephen Knight
Hearing Site: Chicago, IL
| | Expungement |
| 12-00957 | 04/12/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Ellen McDonough, Paul McDonough
Respondent Lawyers(s): Ellen McDonough, Paul J. McDonough
Arbitrator(s): James F. Carlson, Donald W. McKenzie, Allan Robert Ettinger
Hearing Site: Chicago, IL
| | Expungement |
