| 10-04885 | 05/24/2012 | Claimant(s): Laurie R. Rubin Inc., The Cole Sirott Goldenburg Cust. Acct., Laurie Rubin Revocable Trust
Claimant Lawyers(s): Lawrence W. Byrne
Respondent(s): Raymond James Financial Services., Raymond, James & Associates., Richard Barnard
Respondent Lawyers(s): Terrance A Bostic
Arbitrator(s): Robert L. Agusto
Hearing Site: Chicago, IL
|  | $518,204 |
| 10-00048 | 05/17/2012 | Claimant(s): John Galinsky
Claimant Lawyers(s): Michael J. Lohnes
Respondent(s): Dwight Badger, Keith Daubenspeck, Advanced Equities.
Respondent Lawyers(s): Jeffrey S. Fowler
Arbitrator(s): Ann Wilhelmina Kuppe, Richard J. Belmonte, Glenn A. Zipp
Hearing Site: Chicago, IL
| | |
| 09-06734 | 05/17/2012 | Claimant(s): Johnetta Allen
Claimant Lawyers(s): Sandor L. Grossman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Douglas W. Hyman
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 11-02018 | 05/10/2012 | Claimant(s): Charles Echemuna
Claimant Lawyers(s): Charles Echeumuna
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Robert M. Little
Arbitrator(s): Peter Ordower, Jeffrey W. Finke, Robert J. Larson
Hearing Site: Chicago, IL
| | |
| 11-02272 | 05/10/2012 | Claimant(s): Joseph K. Murphy IRA
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): Capwest Securities.
Respondent Lawyers(s): Raymond W. Henney
Arbitrator(s): Victor Elting, John N. Chapin, Sal Presti
Hearing Site: Chicago, IL
| | $366,050 |
| 11-03196 | 05/07/2012 | Claimant(s): Francis Guasta
Claimant Lawyers(s): Jack (Francis V) Guasta
Respondent(s): Kentucky Financial Group., Private Client Services
Respondent Lawyers(s): John E. Hill, President
Arbitrator(s): John F Fennig
Hearing Site: Chicago, IL
| | |
| 11-00079 | 04/27/2012 | Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): Peter D. Schiff
Respondent(s): Pershing LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Thomas F. Ryan, Daniel Baruch Lidawer, Jeffrey L. Durkes
Hearing Site: Chicago, IL
| | |
| 10-05035 | 04/27/2012 | Claimant(s): Robert Gaynor, Custodial Or Education Savings Acct, Robert S. Gaynor IRA, Robert S. Gaynor Special Account
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): William M. Koziol, Philip J. Glick, Michael R. Sherwin
Hearing Site: Chicago, IL
| | Expungement |
| 11-04341 | 04/24/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Kenneth Koger
Respondent Lawyers(s): Kenneth Koger
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
| | |
| 11-00604 | 04/11/2012 | Claimant(s): Peter Vranas
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
| | Expungement |
