| 09-05477 | 03/28/2011 | Claimant(s): Roy Cook, Oak Brook Strategic Investment Advisors
Claimant Lawyers(s): Ruth I. Major
Respondent(s): Baker Tilly Capital, Baker Tilly Investment Advisors, Baker Tilly Virchow Krause, LLP
Respondent Lawyers(s): Kevin D. McHugh
Arbitrator(s): Alan E. Case, Theodore W. Wrobleski, Joseph D. Savino
Hearing Site: Chicago, IL
| | |
| 10-00962 | 03/08/2011 | Claimant(s): Mary Hess, Mary Abbott Hess as TTEE and Beneficiary
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Kathryn Kennedy
Respondent Lawyers(s): Patrick G. King
Arbitrator(s): Ray J. Grzebielski, Theresa A Gillerlain, Jeffrey L. Durkes
Hearing Site: Chicago, IL
|  | $0 |
| 10-03996 | 03/03/2011 | Claimant(s): Randall Medow, American States Auto Plan.
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Robinson
Arbitrator(s): Rody P. Biggert
Hearing Site: Chicago, IL
| | $0 |
| 10-01036 | 02/25/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Palmer
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Robert S. Sugarman, Richard R. Bicek, Elayne Morgan
Hearing Site: Chicago, IL
| | |
| 09-04996 | 02/18/2011 | Claimant(s): Sidney Small
Claimant Lawyers(s): Seth Huberman
Respondent(s): RBC Capital Markets LLC, Timothy Disparte
Respondent Lawyers(s): Jessica J. Stomski, Kevin S. Besetzny
Arbitrator(s): Jeffrey W. Finke, Brian E. Slotky, Timothy M. Feeney
Hearing Site: Chicago, IL
| | $0 |
| 10-01256 | 02/01/2011 | Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Stefan Rosuck
Respondent Lawyers(s): Stefan E. Rosuck
Arbitrator(s): Peter Ordower
Hearing Site: Chicago, IL
| | |
| 09-01691 | 01/27/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): James Dingle
Respondent Lawyers(s): Alan Block
Arbitrator(s): Robert B. Schmidt, Richard J. Belmonte, Stephen M. Slavin
Hearing Site: Chicago, IL
| | |
| 09-01961 | 01/21/2011 | Claimant(s): Cynthia Brown, Wayne Brown
Claimant Lawyers(s): Joel M. Weiner
Respondent(s): Wachovia Securities, Dennis Anderson
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Ray J. Grzebielski, Jay K. Buck, Lee H. Goodman
Hearing Site: Chicago, IL
| | $0 |
| 08-02639 | 01/13/2011 | Claimant(s): International Capital Management Company
Claimant Lawyers(s): Celiza P. Braganca
Respondent(s): J.P. Morgan Securities, Matthew Tannin, Norman Lang, Ralph Cioffi, Raymond McGarrigal, Bear Stearns Asset Management Inc., The Bear Stearn & Companies.
Respondent Lawyers(s): Catherine L. Redlich, Edward J.M. Little, Gabrielle Gould, Theresa Trzaskoma
Arbitrator(s): Howard B. Silverman, Susanne J. Hollander, Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 10-02329 | 12/17/2010 | Claimant(s): Cynthia Keogh, Michael Palmisano, Cynthia Palmisano IRA, Michael Palmisano IRA, Michael and Cynthia Palmsiano, Hilma Rossdahl Trust, Martha Rossdahl Trust
Claimant Lawyers(s): Michael Palmisano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | $338 |
