| 12-01189 | 10/25/2012 | Claimant(s): Bradley Glatter
Claimant Lawyers(s): Bradley Glatter
Respondent(s): LPL Financial LLC, Michael Lutz
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
|  | $213 |
| 12-03350 | 10/24/2012 | Claimant(s): Sergio Alvarado
Claimant Lawyers(s): David Neuman
Respondent(s): Glen Smith, Capstone Partners, L.C.
Respondent Lawyers(s): Glen Edward Smith, Gregory Bartko
Arbitrator(s): Irving A. Chesler
Hearing Site: Chicago, IL
| | $997,380 |
| 12-01553 | 10/17/2012 | Claimant(s): Kenneth Volz, Nancy Volz
Claimant Lawyers(s): Kenneth H. Volz, Nancy M. Volz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
| 12-00806 | 10/11/2012 | Claimant(s): Ronald Reid
Claimant Lawyers(s): Ronald M. Reid
Respondent(s): Joseph Gilbert, Morgan Stanley
Respondent Lawyers(s): Sheetal Parikh
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 11-00704 | 10/10/2012 | Claimant(s): The Estate of Barbara Micek
Claimant Lawyers(s): Thomas P. Yardley
Respondent(s): UBS Financial Services Inc., The Estate of James R. Kirchner, Sr.
Respondent Lawyers(s): Stefanie M. Wayco, Tim Rabel
Arbitrator(s): Thomas Sargant, John D. Crawford, Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 11-01073 | 10/05/2012 | Claimant(s): John Mattinen, Lucy Mattinen
Claimant Lawyers(s): Steven J. Rotunno
Respondent(s): Krittibas Ray, White Pacific Securities.
Respondent Lawyers(s): Krittibas Ray, Patrick Baldwin
Arbitrator(s): Ray J. Grzebielski, Renan I. Sugarman, Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $200,000 |
| 11-00632 | 10/03/2012 | Claimant(s): David Mengo
Claimant Lawyers(s): David A. Mengo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | Expungement |
| 08-04952 | 10/01/2012 | Claimant(s): Charles Giger
Claimant Lawyers(s): David Audley
Respondent(s): Christipher Belonge, James Ahmann, James Hintz, Pavek Investments Inc.
Respondent Lawyers(s): Christipher Lynn Belonge, Michael C. Bruck, Peter B. Shaeffer
Arbitrator(s): Charles F. Custer, Robert J. Larson, Timothy M. Feeney
Hearing Site: Chicago, IL
| | $800,000 |
| 12-01395 | 09/12/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I Sugarman
Respondent(s): Timothy Sennott
Respondent Lawyers(s): Timothy Madden Sennott
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | |
| 11-01535 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Sean Rhodes
Respondent Lawyers(s): Sean Collin Rhodes
Arbitrator(s): Jeffrey W. Finke, Thomas F. Ryan, James A. Murphy
Hearing Site: Chicago, IL
| | |
