| 08-04697 | 06/10/2011 | Claimant(s): Jackie Andalman, Jackie Andalman IRA
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette P. Morales
Arbitrator(s): Ruth Hannenberg, Donald W. McKenzie, Robert P. Keno
Hearing Site: Chicago, IL
|  | Expungement |
| 09-04261 | 06/09/2011 | Claimant(s): Chicago Investment Group, Llc
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Cinthia Collins
Respondent Lawyers(s): Cinthia Faye Collins
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | |
| 10-01803 | 06/08/2011 | Claimant(s): Scott Olson
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): World Equity Group.
Respondent Lawyers(s): Albert S. Watkins
Arbitrator(s): John N. Chapin, David J. Langseth, Jeffrey S. Fannon
Hearing Site: Chicago, IL
| | |
| 09-01692 | 06/03/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Travis Sheets
Respondent Lawyers(s): Travis N. Sheets
Arbitrator(s): Michael F. Jordan, Robert S. Sugarman, Suanne F. Goldman
Hearing Site: Chicago, IL
| | |
| 10-02310 | 05/18/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Thomas Aylmer
Respondent Lawyers(s): Thomas C. Aylmer
Arbitrator(s): Mary Beth Wheeler
Hearing Site: Chicago, IL
| | |
| 09-05257 | 05/09/2011 | Claimant(s): Joan Bonert, Joan Bonert Trust
Claimant Lawyers(s): Christopher P. Porter
Respondent(s): Michael Westmoreland, AOS.
Respondent Lawyers(s): Daryl M. Schumacher, Michael L. Westmoreland
Arbitrator(s): Robert L. Agusto
Hearing Site: Chicago, IL
| | $135,472 |
| 09-06207 | 05/04/2011 | Claimant(s): Mary E. Wright Trust
Claimant Lawyers(s): Paul J. Sussman
Respondent(s): Credit Suisse First Boston LLC
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): William M. Koziol, Michael R. Sherwin, Loren H. Newman
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 10-01040 | 04/25/2011 | Claimant(s): Demetrios Kamaris, Toni Kamaris
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Donald Whiteman, Charles F. Custer, Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $153,000 |
| 09-02465 | 04/20/2011 | Claimant(s): Iris Seeley, Paul Seeley
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Jerome Stern, Jack J. Herman, G. Marshall Abbey
Hearing Site: Chicago, IL
| | $0 |
| 10-00258 | 04/14/2011 | Claimant(s): Peter Kortemeyer
Claimant Lawyers(s): Laurence S. Schultz
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Theodore L. Leeb
Hearing Site: Chicago, IL
| | Expungement |
