| 11-00237 | 09/04/2012 | Claimant(s): Metropolitan Bank Group., NC Bancorp.
Claimant Lawyers(s): Benjamin D. Reichard
Respondent(s): Jack Whitaker, Suntrust Robinson Humphrey.
Respondent Lawyers(s): David L. Balser
Arbitrator(s): Thomas F. Mahoney, Susanne J. Hollander, G. Marshall Abbey
Hearing Site: Chicago, IL
|  | Expungement |
| 11-01532 | 08/16/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Joseph Boutross
Respondent Lawyers(s): Joseph Boutross
Arbitrator(s): Irving A. Chesler
Hearing Site: Chicago, IL
| | |
| 11-03825 | 08/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Brian Sak
Respondent Lawyers(s): William S. Bazianos
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | |
| 11-02945 | 07/26/2012 | Claimant(s): Fred Prudhomme
Claimant Lawyers(s): James A. McGurk
Respondent(s): Arnold Janickas, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ray J. Grzebielski, Caroline N. Harney, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $140,300 |
| 12-00050 | 07/20/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Kelly Chapman
Respondent Lawyers(s): Kelly Chapman
Arbitrator(s): Mary Beth Wheeler, Rody P. Biggert, Ann Wilhelmina Kuppe
Hearing Site: Chicago, IL
| | Expungement |
| 10-05550 | 07/02/2012 | Claimant(s): Donald Paul Braman Trust u/t/a dated 8/1
Claimant Lawyers(s): Peter Ordower
Respondent(s): Michael Burns, Steven Dash, Hallmark Investments.
Respondent Lawyers(s): Michael Burns, Steven Dash
Arbitrator(s): Sheldon I. Saitlin, Joseph D. Savino, Elizabeth C. Burton
Hearing Site: Chicago, IL
| | $75,000 |
| 10-04670 | 06/28/2012 | Claimant(s): Amanullah Quadri, Najma Quadri
Claimant Lawyers(s): Amanullah Quadri
Respondent(s): Bellevue Chicago
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 10-00649 | 06/25/2012 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Robinson
Respondent Lawyers(s): Keith L. Griffin
Arbitrator(s): Peter Ordower, Mark E. Larson, Gerald Joseph Aleksy
Hearing Site: Chicago, IL
| | |
| 10-05681 | 06/21/2012 | Claimant(s): James Gibbs
Claimant Lawyers(s): James P. Baker
Respondent(s): Max Aten, Valic Financial Advisors.
Respondent Lawyers(s): Randall L. Mitchell
Arbitrator(s): Sheldon I. Saitlin, Mary A. Duffy, Michael Stephen Knight
Hearing Site: Chicago, IL
| | |
| 10-05400 | 06/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Brian Graham
Respondent Lawyers(s): Gregg M. Rzepczynski
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
