| 20-00731 | 09/09/2020 | Claimant(s): Philip Cole
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NSA Securities Corporation
Respondent Lawyers(s): Dirk C. Salberg
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 17-00463 | 01/20/2020 | Claimant(s): Shahida Hossain
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lindsay Wuller
Arbitrator(s): Ray J. Grzebielski, Robert J. Larson, Elizabeth C. Burton
Hearing Site: Chicago, IL
|  | $0 |
| 17-01139 | 11/12/2019 | Claimant(s): Denise Kappel
Claimant Lawyers(s): Jack Samuel Tenenbaum
Respondent(s): Asher Wolmark, William Vellon, Kingsbury Capital Investment AdvisorsLLC, Kingsbury Capital Securities Inc, Kingsbury Capital., Kingsbury
Respondent Lawyers(s): Corporate Office, Nicholas P. Iavarone, William Vellon
Arbitrator(s): Ray J. Grzebielski, Thomas P. Valenti, Courtney Paige Delaney
Hearing Site: Chicago, IL
| | |
| 18-00937 | 05/31/2019 | Claimant(s): West Chicago Police Pension Fund
Claimant Lawyers(s): Jeffrey Finley
Respondent(s): Edward Jones
Respondent Lawyers(s): Alexander Martin Madrid
Arbitrator(s): Ray J. Grzebielski, Robert Biondi, Adrian E. Mazar
Hearing Site: Chicago, IL
| | $0 |
| 17-01335 | 03/22/2019 | Claimant(s): UTMA Accounts Ending 383 and 385, Wendy A. Davies Revocable Trust 3-16-07
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Ray J. Grzebielski, Alfonso Cobb
Hearing Site: Chicago, IL
| | Expungement |
| 17-03316 | 02/04/2019 | Claimant(s): Nicholas McClanahan
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Ray J. Grzebielski, Gerald F DeNotto, Robert S. Grabemann
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 18-02254 | 01/31/2019 | Claimant(s): Richard Babjak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): World Equity Group.
Respondent Lawyers(s): Christopher Cokinis
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 18-02387 | 10/15/2018 | Claimant(s): Christopher Pfaff
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 15-03071 | 04/05/2017 | Claimant(s): Alice Appel
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Indianapolis, IN
| | Expungement |
| 16-02843 | 03/20/2017 | Claimant(s): Bernard DelGiorno, Nicholas Lomaglio
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
