| 10-00141 | 07/13/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): George Hovany
Respondent Lawyers(s): George Edward Hovany
Arbitrator(s): William M. Koziol
Hearing Site: Chicago, IL
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| 09-01495 | 07/12/2010 | Claimant(s): Frank Grossman
Claimant Lawyers(s): Nicholas P. Iavorone
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Frederic M. Rizzo, Jerome Stern, Jeffrey S. Fannon
Hearing Site: Chicago, IL
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| 09-03812 | 07/06/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Chad Henry, David Koch
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Michael L. Weissman, Jeffrey S. Fannon, Samuel Olutola Akeju
Hearing Site: Chicago, IL
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| 09-00558 | 07/02/2010 | Claimant(s): Carl Noble, Sandra Noble
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Theodore Williams, Howe Barnes Hoefer & Arnett.
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): James D. Adducci, Louis M. Skydell, Susan L. Walker
Hearing Site: Chicago, IL
|  | $0 |
| 09-01494 | 06/29/2010 | Claimant(s): Kenneth Iwanicki, Penelope Iwanicki
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie, President
Arbitrator(s): Robert W. Edler, Theodore M. Utchen, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
| 05-02413 | 06/22/2010 | Claimant(s): Arlene Johnson, IRA, Laurance Johnson, Arlene and Laurance Johnson, Arlene Johnson as trustee
Claimant Lawyers(s): George J. Vournazos
Respondent(s): Stuart Updegrove, First Republic Group
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Susanne J. Hollander, Paul T. Greening, Josette Belvedere
Hearing Site: Chicago, IL
| | $0 |
| 09-03076 | 06/11/2010 | Claimant(s): Alina Zaucha, Joseph Zaucha
Claimant Lawyers(s): James J. Moylan
Respondent(s): Raymond James Financial Services., Michael Solesky
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Richard A. Van Kalker
Hearing Site: Chicago, IL
| | $0 |
| 06-02711 | 05/25/2010 | Claimant(s): Donna Zgonina, Casmir H. Zgonina Ins. Trust
Claimant Lawyers(s): Robert D. Tepper
Respondent(s): Stifel, Nicolaus & Co.., George Johnson
Respondent Lawyers(s): Jane Matoesian
Arbitrator(s): Ray J. Grzebielski, Michael S. Jordan, Anthony P. Pecora
Hearing Site: Chicago, IL
| | Stipulated Award |
| 09-04686 | 05/25/2010 | Claimant(s): Barbara Bauer
Claimant Lawyers(s): Harvey R. Herman
Respondent(s): Anthony Cibotti, UBS Financial Services Inc.
Respondent Lawyers(s): John O Murphy
Arbitrator(s): Richard J. Belmonte
Hearing Site: Chicago, IL
| | $0 |
| 08-01652 | 05/06/2010 | Claimant(s): Mesirow Financial Holdings., Mesirow Financial Invesment Managment,, Mesirow Financial.
Claimant Lawyers(s): Scott Vold
Respondent(s): David Copeland, Neal Price, Strategic Wealth Partners
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Doris H. Geck, Richard J. Belmonte, Debra J. Tucker
Hearing Site: Chicago, IL
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