| 08-03323 | 12/18/2009 | Claimant(s): Cheryl Seifert
Claimant Lawyers(s): Erwin Cohn
Respondent(s): David Mummery, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Alan S. Farnell, Rita J. Jacyna Curley, Karyn Lynne Williams
Hearing Site: Chicago, IL
|  | $67,000 |
| 09-01386 | 12/15/2009 | Claimant(s): Benjamin Rooks
Claimant Lawyers(s): Jeffrey Grant Brown
Respondent(s): William Blair & Company L.L.C.
Respondent Lawyers(s): Tobias E. Schlueter
Arbitrator(s): Sanford J. Prizant, Sondra Sellars, Irving S. Capitel
Hearing Site: Chicago, IL
| | |
| 08-04460 | 12/15/2009 | Claimant(s): Hilary Gibbons, Joseph Gibbons
Claimant Lawyers(s): Joseph H. Gibbons
Respondent(s): Citigroup Global Markets., Jay Hesdorffer, Marietta Hesdorffer, Michael Coleman
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Robert W. Edler, Ralph M. Goren, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
| 08-00672 | 12/02/2009 | Claimant(s): Dan Camphausen, Edmund Templeton, Gerald Tahtinen, Larry Myhre, OADS, INC., Heidi Sparacino, IRA, Judith Meyers, Bartlett and Doris Richards, Dennis and Heidi Sparacino, Bonnie Meyers, Indiv & as Trustee of, Shirely Wong Profit Sharing Trust, The Gerald and Mary Dassow Trust
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Thomas P. Yardley
Arbitrator(s): Ralph M. Goren, Theodore L. Leeb, Craig D. Cook
Hearing Site: Chicago, IL
| | $174,766 |
| 09-02554 | 11/20/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Don Steriovski
Respondent Lawyers(s): Don Steriovski
Arbitrator(s): Victor Elting
Hearing Site: Chicago, IL
| | |
| 09-00572 | 11/16/2009 | Claimant(s): Josephine DesParte
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Brian Kasal, William Blair & Company L.L.C., William Ross
Respondent Lawyers(s): Andrea K. Zollett, Phillip M. Goldberg
Arbitrator(s): John N. Chapin, Joseph FitzSimmons, John T. Keefe
Hearing Site: Chicago, IL
| | $1,117,860 |
| 09-00550 | 11/11/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Stroup
Respondent Lawyers(s): William Clayton Stroup
Arbitrator(s): Frank F. Foys, Robert B. Schmidt, Suanne F. Goldman
Hearing Site: Chicago, IL
| | |
| 08-02927 | 10/16/2009 | Claimant(s): Mary Stroud
Claimant Lawyers(s): Douglas M. DeClue
Respondent(s): Ingrid MacCready-Miller, Financial Planning System's, MTL Equity Products.
Respondent Lawyers(s): Jennifer A. Kenedy, Lauren Moy Kim
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | $0 |
| 08-04479 | 10/13/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Don Steriovski
Respondent Lawyers(s): Samuel G. Vazanellis
Arbitrator(s): Steven Samson, Joseph D. Savino, Suanne F. Goldman
Hearing Site: Chicago, IL
| | |
| 08-03766 | 10/12/2009 | Claimant(s): Karen Kennedy, Karen Muto Kennedy, Roth IRA, Trustee RMA Acct., Trustee of Mge Acct
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Lee H. Goodman, Jacqueline Stanley Lustig, Samuel Olutola Akeju
Hearing Site: Chicago, IL
| | $0 |
