| 10-04653 | 09/02/2011 | Claimant(s): Christian Malm, Erick Malm, Heidi Malm, Niel Malm, Signe Belden
Claimant Lawyers(s): Daniel S. Hefter
Respondent(s): Charles Schwab & Co.., Reita Malm
Respondent Lawyers(s): John D. Clark, Sean B. Meehan
Arbitrator(s): Michael S. Jordan, Wendell White Clancy, Thomas Michael Genovese
Hearing Site: Chicago, IL
|  | $236,600 |
| 10-05551 | 09/01/2011 | Claimant(s): Eugene Travis
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Brewer Financial Services
Respondent Lawyers(s): Mark Lishchynsky
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | |
| 10-04379 | 08/31/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Derrick Watts
Respondent Lawyers(s): Derrick T. Watts
Arbitrator(s): Barry Goldman
Hearing Site: Chicago, IL
| | |
| 10-02753 | 08/24/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Joseph McMullen
Respondent Lawyers(s): Joseph D. McMullen
Arbitrator(s): Mary Beth Wheeler
Hearing Site: Chicago, IL
| | |
| 10-05821 | 08/23/2011 | Claimant(s): Ruth Lally
Claimant Lawyers(s): Adam S. Tracy
Respondent(s): Stifel, Nicolaus & Co.., Renee Raymond
Respondent Lawyers(s): Keith M. Lahay
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | $213 |
| 10-02160 | 08/05/2011 | Claimant(s): Richard Irsay, Steven Irsay
Claimant Lawyers(s): Steven Irsay
Respondent(s): Wachovia Securities, Danica King, Daniel Hughes, Gregory Wells, Woodrow Jones
Respondent Lawyers(s): Danica King, Steven D. Hamilton
Arbitrator(s): Lee H. Goodman, Leonard Arthur Nelson, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $78,343 |
| 10-04594 | 08/04/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Dennis Metter
Respondent Lawyers(s): James J. Macchitelli
Arbitrator(s): William M. Getzoff
Hearing Site: Chicago, IL
| | |
| 11-00970 | 08/02/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Hegyan
Respondent Lawyers(s): Michael G. Hegyan
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
| | |
| 11-00502 | 07/28/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Peter Rhee
Respondent Lawyers(s): Peter Rhee
Arbitrator(s): Irving A. Chesler
Hearing Site: Chicago, IL
| | |
| 09-07271 | 07/21/2011 | Claimant(s): Roger Fross
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): John K. Notz, Ann Wilhelmina Kuppe, Elena P. Anastasiou
Hearing Site: Chicago, IL
| | Expungement |
