| 16-02906 | 01/31/2017 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher Manuel Rodriguez
Respondent(s): Patrick Phillips
Respondent Lawyers(s): Patrick Jermaine Phillips
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 15-02478 | 11/18/2016 | Claimant(s): Craig Urban
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Anna Wermuth
Arbitrator(s): Ray J. Grzebielski, Sal Presti, David J. Dahl
Hearing Site: Chicago, IL
| | |
| 14-01200 | 07/27/2016 | Claimant(s): Henry Johansen
Claimant Lawyers(s): David Liebrader
Respondent(s): George Carris, Joseph Principe, Vladimir Belyaev, John Carris Investments LLC
Respondent Lawyers(s): George William Carris, Joseph Principe, Vladimir Belyaev
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
|  | $10,560 |
| 15-01909 | 03/18/2016 | Claimant(s): Jerome Grohovsky, Naomi Grohovsky, JPG & Associates.
Claimant Lawyers(s): Joshua Kons
Respondent(s): Sagepoint Financial., Next Financial Group.
Respondent Lawyers(s): Debra L. Weiss, Greg Curley
Arbitrator(s): Ray J. Grzebielski, Lavon C. Phillips, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 15-00934 | 03/08/2016 | Claimant(s): Jay Maltby
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Ray J. Grzebielski, James D. Adducci, Harry Edward Resis
Hearing Site: Chicago, IL
| | |
| 15-00511 | 01/15/2016 | Claimant(s): Gregory Romanczuk
Claimant Lawyers(s): Gregory Romanczuk
Respondent(s): Joseph Baffoe, Richard Lynch, Chicago Investment Group
Respondent Lawyers(s): Joseph Martin Baffoe, Richard Paul Lynch, Richard Lynch, CEO
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 14-03271 | 10/01/2015 | Claimant(s): Pearl Creath
Claimant Lawyers(s): Pearl Creath
Respondent(s): Evaughn Branham-Ferrero, J.P. Morgan Securities, Keith Parks
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $0 |
| 13-03763 | 08/15/2014 | Claimant(s): Evelyn McDowell, John McDowell
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Indianapolis, IN
| | $50,000 |
| 11-04665 | 09/04/2013 | Claimant(s): Gary Epping
Claimant Lawyers(s): Edward H. Glenn, Jr.
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Milwaukee, WI
| | Expungement |
| 12-01189 | 10/25/2012 | Claimant(s): Bradley Glatter
Claimant Lawyers(s): Bradley Glatter
Respondent(s): LPL Financial LLC, Michael Lutz
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $213 |
