| 14-03432 | 02/05/2016 | Claimant(s): Jeffrey Howard
Claimant Lawyers(s): Hal J. Wood
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Steven D. Hurd
Arbitrator(s): Mitchell Lee Marinello, John M. Kramer, Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 14-03766 | 02/04/2016 | Claimant(s): Jeffrey Richards
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Damon Testaverde, Patrick Teutonico, Philip Dina, Richard Hunt, William Hunt, Network 1 Financial Securities Inc.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Jeffrey W. Finke, Mitchell Lee Marinello, Shelby Webb
Hearing Site: Chicago, IL
|  | $0 |
| 14-02315 | 04/02/2015 | Claimant(s): John Jacobs
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Mitchell Lee Marinello
Hearing Site: Chicago, IL
| | |
| 13-03429 | 03/18/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S Griesmeyer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Mitchell Lee Marinello
Hearing Site: Chicago, IL
| | |
| 13-03019 | 09/08/2014 | Claimant(s): Chris Rones
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): David J. Langseth, Mitchell Lee Marinello, Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 12-01569 | 01/27/2014 | Claimant(s): Mary Neul, Estate of Milton Neul
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): John Watson, Securities America.
Respondent Lawyers(s): David A. Baugh, John E. Watson
Arbitrator(s): Mitchell Lee Marinello, Josette Belvedere, James A. Murphy
Hearing Site: Chicago, IL
| | Expungement |
| 12-04368 | 12/10/2013 | Claimant(s): EMJ Investments
Claimant Lawyers(s): Dennis C. Waldon
Respondent(s): Eroom Securities LLC
Respondent Lawyers(s): Kevin M. Flynn
Arbitrator(s): Philip J. Glick, Mitchell Lee Marinello, Steven Edward Wollack
Hearing Site: Chicago, IL
| | $0 |
| 13-00127 | 09/26/2013 | Claimant(s): David Tansor
Claimant Lawyers(s): David A. Gehn
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Mitchell Lee Marinello
Hearing Site: Milwaukee, WI
| | |
| 07-03445 | 03/02/2009 | Claimant(s): Ralph Diaz
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Thomas Sargant, Theodore L. Leeb, Mitchell Lee Marinello
Hearing Site: Chicago, IL
| | |
| 07-00366 | 02/11/2009 | Claimant(s): Griffin, Kubik, Stephens & Thompson
Claimant Lawyers(s): Steven P. Gomberg
Respondent(s): James Kubik, Jill Rottman, John Tofilon, Kent Atkinson, Morgan Stanley DW Inc., Maria Tornga
Respondent Lawyers(s): Christopher M. Burky, Howard B. Iwrey, Steven P. Gomberg
Arbitrator(s): Jerome F. Crotty, Robert J. Larson, Mitchell Lee Marinello
Hearing Site: Chicago, IL
| | |
