| 11-02992 | 12/06/2012 | Claimant(s): Gary Glatz on behalf of his IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Butenuth, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Theodore W. Wrobleski, Stephen C. Esposito, Irving A. Chesler
Hearing Site: Chicago, IL
|  | Expungement |
| 11-01910 | 12/05/2012 | Claimant(s): Dana Levenson
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Peter Ordower, Ann Breen-Greco, Brian E. Slotky
Hearing Site: Chicago, IL
| | |
| 11-04375 | 12/03/2012 | Claimant(s): Wayne Jensen
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kraig Mickelsen, Ausdal Financial Partners.
Respondent Lawyers(s): Jeff Ziesman
Arbitrator(s): Daniel R. Formeller, Mary A. Duffy, David John Diersen
Hearing Site: Chicago, IL
| | Expungement |
| 11-03970 | 11/29/2012 | Claimant(s): Jian Yuan
Claimant Lawyers(s): Damon E. Dunn
Respondent(s): Daniel Tierney, Stephen Schuler, Blink Trading, GETCO Europe Limited, GETCO Holding Company, GETCO, Getco Securities, Lowtech Solutions, OCTEG
Respondent Lawyers(s): Bill Dugan
Arbitrator(s): Joseph D. Vu, Scott E. Rexroad, Jonah Orlofsky
Hearing Site: Chicago, IL
| | |
| 11-03951 | 11/28/2012 | Claimant(s): Steven Schneiderman
Claimant Lawyers(s): Gavin J. Fleming
Respondent(s): Burton Street, RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Donald W. McKenzie, Harry Edward Resis, Michael Cotter Greenfield
Hearing Site: Chicago, IL
| | |
| 11-01411 | 11/26/2012 | Claimant(s): James Berggren, Patricia Berggren
Claimant Lawyers(s): James J. Moylan
Respondent(s): Hugo Long, Morgan Stanley & Co.
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Robert C. Bonges, Robert S. Sugarman, Ronald A. Lavery
Hearing Site: Chicago, IL
| | $52,065 |
| 12-00258 | 11/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): John Stanton
Respondent Lawyers(s): John Leslie Stanton
Arbitrator(s): Irving A. Chesler
Hearing Site: Chicago, IL
| | |
| 11-04500 | 11/20/2012 | Claimant(s): Leonard Kayiwa
Claimant Lawyers(s): Leonard M. Kayiwa
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Michael Nathanson, Sondra Sellars, Scott E. Smith
Hearing Site: Chicago, IL
| | $0 |
| 12-00205 | 11/15/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Brigden
Respondent Lawyers(s): William Scanlan Brigden
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | |
| 11-01145 | 10/31/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Frederick S. Schrils
Respondent(s): Robert Rowe
Respondent Lawyers(s): Glenn S. Gitomer
Arbitrator(s): Henry G. Nothnagel, Jeffrey W. Finke, Robert William Berliner
Hearing Site: Chicago, IL
| | |
