| 13-01787 | 09/12/2014 | Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Richard Landi, Robert Mather, Roger Leibowitz, RBC Capital Markets LLC, Allied Beacon Partners.
Respondent Lawyers(s): Debra A. Jenks, Ronald Kane, Steven S. Biss
Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann
Hearing Site: Chicago, IL
|  | Stipulated Award |
| 14-00023 | 01/27/2014 | Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): RBC Capital Markets
Respondent Lawyers(s): Todd W. Schnell
Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Stipulated Award |
| 11-03894 | 11/08/2013 | Claimant(s): Jeffrey Foster
Claimant Lawyers(s): Steven M. Cloh
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Theodore W. Wrobleski, Shelby Webb, Howard T. Goffen
Hearing Site: Chicago, IL
| | $61,732 |
| 12-04318 | 07/11/2013 | Claimant(s): Patricia Reider
Claimant Lawyers(s): Patricia Reider
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jill Cohen
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 12-03141 | 04/16/2013 | Claimant(s): James Zastrow, UBS Financial Services Inc.
Claimant Lawyers(s): Payne L. Templeton
Respondent(s): Mirzi T. Maras Revocable Trust
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Robert W. Edler, Theodore W. Wrobleski, Michael Stephen Knight
Hearing Site: Chicago, IL
| | Expungement |
| 11-02992 | 12/06/2012 | Claimant(s): Gary Glatz on behalf of his IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Butenuth, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Theodore W. Wrobleski, Stephen C. Esposito, Irving A. Chesler
Hearing Site: Chicago, IL
| | Expungement |
| 09-05477 | 03/28/2011 | Claimant(s): Roy Cook, Oak Brook Strategic Investment Advisors
Claimant Lawyers(s): Ruth I. Major
Respondent(s): Baker Tilly Capital, Baker Tilly Investment Advisors, Baker Tilly Virchow Krause, LLP
Respondent Lawyers(s): Kevin D. McHugh
Arbitrator(s): Alan E. Case, Theodore W. Wrobleski, Joseph D. Savino
Hearing Site: Chicago, IL
| | |
| 09-01876 | 09/17/2009 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Robert Lieblang
Respondent Lawyers(s): Robert J. Lieblang
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | $0 |
