| 10-05454 | 01/25/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan Sugarman
Respondent(s): David Wilsman
Respondent Lawyers(s): David K. Wilsman
Arbitrator(s): Donald W. Cohen
Hearing Site: Chicago, IL
| | |
| 10-03006 | 01/17/2012 | Claimant(s): James Lockwood
Claimant Lawyers(s): Jennifer Walsh Hammer
Respondent(s): Gary Lowery, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Patrick G. King
Arbitrator(s): Frank R. Niederman, Arne R. Rode, Leon Fox
Hearing Site: Chicago, IL
|  | Expungement |
| 10-04426 | 12/28/2011 | Claimant(s): Eric Goldstein
Claimant Lawyers(s): Adam D. Herzog
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Lynn U. Thorpe
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | |
| 09-06958 | 12/28/2011 | Claimant(s): Tall Trees
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Cole Partners, Lynn Sieben
Respondent Lawyers(s): Daniel D. White, Thomas F. Burke
Arbitrator(s): Robert S. Sugarman, Champ W. Davis, Abe Jay Goldsmith
Hearing Site: Chicago, IL
| | Expungement |
| 11-04236 | 12/28/2011 | Claimant(s): David McAllister, McAllister Family Trust A, McAllister Family Trust B
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Anthony Salino, Lynn Schultz, Mercer Capital, Ltd.
Respondent Lawyers(s): Anthony John Salino, Company President, Lynn Gordon Schultz
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
| 11-00521 | 12/23/2011 | Claimant(s): Ghaleb Azroui
Claimant Lawyers(s): Ghaleb Azroui
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Robert S. Sugarman, Theodore L. Leeb, Robert B. Schmidt
Hearing Site: Chicago, IL
| | $0 |
| 11-00660 | 12/22/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Mark Essenfeld
Respondent Lawyers(s): Channing Blair Hesse
Arbitrator(s): Roland L. Olzark
Hearing Site: Chicago, IL
| | |
| 11-01942 | 12/19/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Russell Hart
Respondent Lawyers(s): James D. Skaar
Arbitrator(s): William M. Getzoff
Hearing Site: Chicago, IL
| | |
| 10-04034 | 12/14/2011 | Claimant(s): Thomas Styczen
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Wells Fargo Advisors, Robert Schrieber
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Jonathan Gorman Cook, Jonathan B. Gilbert, G. Marshall Abbey
Hearing Site: Chicago, IL
| | |
| 10-02906 | 12/12/2011 | Claimant(s): Scott Sutherland
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Dwight Badger, Keith Daubenspeck, Advanced Equities.
Respondent Lawyers(s): Amal S. Amin
Arbitrator(s): Sanford J. Prizant, Richard R. Bicek, James A. Murphy
Hearing Site: Chicago, IL
| | |
