| 11-01804 | 01/31/2013 | Claimant(s): Candace Parkin, Robert Rubens
Claimant Lawyers(s): Robert Rubens
Respondent(s): Gerry Kostuk, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ralph M. Goren
Hearing Site: Chicago, IL
|  | Expungement |
| 11-03627 | 01/30/2013 | Claimant(s): Alessandrina Deprizio, Carmela DiMare, Florence DiMare, Wilton Manor, Ltd.
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Securities America., Thomas Reynolds
Respondent Lawyers(s): Chad Weaver, Sandor Grossman
Arbitrator(s): Sheldon I. Saitlin, Woodrow A. Sutton, Theresa A Gillerlain
Hearing Site: Chicago, IL
| | Expungement |
| 11-01669 | 01/28/2013 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sean Gorman, Thomas Lillard
Respondent Lawyers(s): Bradley D. Hergott, Simon J Hill
Arbitrator(s): Roger B. Johnston, Philip J. Glick, Seymour Andrew Newman
Hearing Site: Chicago, IL
| | |
| 12-02056 | 01/24/2013 | Claimant(s): James Howland
Claimant Lawyers(s): James H. Howland
Respondent(s): Melvin Securities, L.L.C.
Respondent Lawyers(s): Michael Wise
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | |
| 11-04337 | 01/14/2013 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly Davis
Respondent(s): Joseph Gilleran
Respondent Lawyers(s): Joseph Santo Gilleran
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
| | |
| 10-04918 | 01/10/2013 | Claimant(s): Lehman Brothers Holdings Inc
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Joseph Boutross
Respondent Lawyers(s): Joseph Boutross
Arbitrator(s): Alan M. Wolper, Howard Z. Gopman, Allen D. Schwartz
Hearing Site: Chicago, IL
| | |
| 11-03896 | 01/02/2013 | Claimant(s): Steven Stroker
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Epaminondas Eddie Manelis, Robert Lewis Brown, Franklin Sariel Schwerin
Hearing Site: Chicago, IL
| | |
| 11-02825 | 12/24/2012 | Claimant(s): Manfred Muell
Claimant Lawyers(s): John S. Burke
Respondent(s): Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Michael J. Waters
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 11-02248 | 12/12/2012 | Claimant(s): I-Wen Liu, Thomas Campbell
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): Genevieve Mar
Respondent Lawyers(s): Stephany McLaughlin
Arbitrator(s): Peter Ordower, Champ W. Davis, Elliot Leitner
Hearing Site: Chicago, IL
| | $125,000 |
| 10-01802 | 12/10/2012 | Claimant(s): Colleen Reardon, Edward Reardon, Edward Reardon TTEE of the Edward
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Mark L Miller, Marilee Roberg, Ronald A. Sirt
Hearing Site: Chicago, IL
| | Expungement |
