| 18-00787 | 02/28/2019 | Claimant(s): Jeffrey Mackevich
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Mesirow Financial.
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): William M. Koziol
Hearing Site: Chicago, IL
| | |
| 14-02529 | 02/23/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gary Torrey
Respondent Lawyers(s): Gary Torrey
Arbitrator(s): William M. Koziol
Hearing Site: Chicago, IL
| | |
| 11-01256 | 02/19/2013 | Claimant(s): Carol Seaton, Carol A. Seaton IRA
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): UBS Financial Services Inc., Richard Judd
Respondent Lawyers(s): Amy B. Bard, Eric D. Brandfonbrener
Arbitrator(s): William M. Koziol, Mary Beth Wheeler, Philip J. Glick
Hearing Site: Chicago, IL
|  | Expungement |
| 10-05035 | 04/27/2012 | Claimant(s): Robert Gaynor, Custodial Or Education Savings Acct, Robert S. Gaynor IRA, Robert S. Gaynor Special Account
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): William M. Koziol, Philip J. Glick, Michael R. Sherwin
Hearing Site: Chicago, IL
| | Expungement |
| 09-06207 | 05/04/2011 | Claimant(s): Mary E. Wright Trust
Claimant Lawyers(s): Paul J. Sussman
Respondent(s): Credit Suisse First Boston LLC
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): William M. Koziol, Michael R. Sherwin, Loren H. Newman
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 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
| | |
