| 10-04592 | 04/29/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Jeffrey Wescott
Respondent Lawyers(s): Darrell J. Graham
Arbitrator(s): Leon Fox, Thomas H. Stone, David M. Zimberoff
Hearing Site: Chicago, IL
| | |
| 10-05400 | 06/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Brian Graham
Respondent Lawyers(s): Gregg M. Rzepczynski
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 11-00094 | 03/13/2012 | Claimant(s): Byron Stanislaw
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Leon Fox, Raymond P. Buschmann, Murray David Shaewitz
Hearing Site: Chicago, IL
| | |
| 10-03006 | 01/17/2012 | Claimant(s): James Lockwood
Claimant Lawyers(s): Jennifer Walsh Hammer
Respondent(s): Gary Lowery, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Patrick G. King
Arbitrator(s): Frank R. Niederman, Arne R. Rode, Leon Fox
Hearing Site: Chicago, IL
|  | Expungement |
| 11-02112 | 12/07/2011 | Claimant(s): Michael Riniker, Patricia Riniker
Claimant Lawyers(s): Patricia A. Riniker
Respondent(s): Locust Street Securities.
Respondent Lawyers(s): Jim Garvey
Arbitrator(s): James F. Carlson, Leon Fox, Ruth Ann Kubancek
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 10-02070 | 03/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Edna Jackson
Respondent Lawyers(s): Daniel D. Hill
Arbitrator(s): Leon Fox
Hearing Site: Minneapolis, MN
| | |
| 10-02112 | 11/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William Wilkins
Respondent Lawyers(s): William Lorne Wilkins
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 09-05778 | 08/20/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): David Waro
Respondent Lawyers(s): David J. Hase
Arbitrator(s): John E. Sundeen, P. J. Boylan, Leon Fox
Hearing Site: Milwaukee, WI
| | |
| 09-03365 | 04/26/2010 | Claimant(s): Judy Lipinski, William Lipinski, Judy A. Linpinski as TTEE of the Judy A., William A. Lipinski, TTEE of the William
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Stifel, Nicolaus & Co.., Donald Meyer
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Michael S. Matek, Robert P. Bramnik, Leon Fox
Hearing Site: Chicago, IL
| | $0 |
| 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 |
