| 12-00271 | 04/05/2013 | Claimant(s): Kevin O'Neill
Claimant Lawyers(s): Robert C. Levels
Respondent(s): Birkelbach Investment Securities.
Respondent Lawyers(s): Christopher Wurtzinger
Arbitrator(s): Michael F. Jordan, Epaminondas Eddie Manelis, Michael S. Jordan
Hearing Site: Chicago, IL
|  | $687,410 |
| 12-01720 | 04/02/2013 | Claimant(s): Norman Hoffberg
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | Expungement |
| 12-02141 | 03/22/2013 | Claimant(s): Robert I. Spiegel Trust Number 100
Claimant Lawyers(s): Mona Lawton
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
| | $0 |
| 09-00883 | 03/15/2013 | Claimant(s): John Beland and Elaine Beland, John Beland as TTEE of the Floyd and
Claimant Lawyers(s): David A. Genelly
Respondent(s): Ameriprise Financial Services., Ronald Miller
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Robert L. Agusto, Steven P. Gomberg, Michael I. White
Hearing Site: Chicago, IL
| | Expungement |
| 12-01200 | 02/26/2013 | Claimant(s): Jerold Kopf
Claimant Lawyers(s): Jerold Kopf
Respondent(s): Benjamin Stevens
Respondent Lawyers(s): Benjamin Allen Stevens
Arbitrator(s): Jack J. Herman, Jacqueline Stanley Lustig, Joseph John Novak
Hearing Site: Chicago, IL
| | |
| 11-04077 | 02/25/2013 | Claimant(s): Christine Mallul, Paul Moy
Claimant Lawyers(s): Mona Lawton
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): Kevin P. Shea
Arbitrator(s): Susanne J. Hollander, Edna R. Lee, Howard T. Goffen
Hearing Site: Chicago, IL
| | |
| 11-03458 | 02/21/2013 | Claimant(s): Baroukh Levi, Trudy Levi, Baroukh Levi IRA, Trudy and Baroukh Levi Joint Acct., Park Anesthesia PSP, Park Anesthesiologist PSP, Pro Anesthesia SC Emp RP, The Park Anestheia LLC 401K Plan, Baroukh Levi Living Trust
Claimant Lawyers(s): Martin Q. Ryan
Respondent(s): Timothy Mcfadden, Timothy Mcmullan, Capital Brokerage Corporation
Respondent Lawyers(s): Joshua Kroot, Timothy Owen McMullan, Timothy McFadden
Arbitrator(s): John D. Crawford, Champ W. Davis, Elizabeth C. Simon
Hearing Site: Chicago, IL
| | Expungement |
| 11-03374 | 02/20/2013 | Claimant(s): John North
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Ausdal Financial Partners.
Respondent Lawyers(s): Jeff Ziesman
Arbitrator(s): Michael Nathanson
Hearing Site: Chicago, IL
| | Expungement |
| 11-01256 | 02/19/2013 | Claimant(s): Carol Seaton, Carol A. Seaton IRA
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): UBS Financial Services Inc., Richard Judd
Respondent Lawyers(s): Amy B. Bard, Eric D. Brandfonbrener
Arbitrator(s): William M. Koziol, Mary Beth Wheeler, Philip J. Glick
Hearing Site: Chicago, IL
| | Expungement |
| 11-04171 | 02/14/2013 | Claimant(s): Victoria Ross
Claimant Lawyers(s): Victoria W. Ross
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Jerome F. Crotty, Susan S. Hickel, Susanne J. Hollander
Hearing Site: Chicago, IL
| | |
