| 23-03104 | 03/21/2024 | Claimant(s): Goshgar Huseynov
Claimant Lawyers(s): Goshgar Huseynov
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
|  | $0 |
| 22-00910 | 08/16/2022 | Claimant(s): IFS Liquidation Trust
Claimant Lawyers(s): Richard E. Brodsky
Respondent(s): Keith Wakefield
Respondent Lawyers(s): Keith Wakefield
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
| | |
| 14-03241 | 07/14/2015 | Claimant(s): Samuel Lam
Claimant Lawyers(s): Mark Maddox
Respondent(s): Robert Gianchiglia, Ameritas Investment Corp., Investors Capital Corp.
Respondent Lawyers(s): Gara M. Seagraves, James A. McGovern
Arbitrator(s): James F. Carlson, Angela R. Murphy, Martin A. Duncan
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 13-03372 | 11/05/2014 | Claimant(s): Harold Welser
Claimant Lawyers(s): Harold C. Welser
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
| | $0 |
| 12-03915 | 10/22/2013 | Claimant(s): John Noble
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Michael O'Brien, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
| | Expungement |
| 10-01778 | 05/21/2013 | Claimant(s): Annette Bosco, Diane Rubel, Louis Bosco, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust Dtd 6/25/96, The Bosco Family Trust Dtd 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): George Gilbert, James Mitchell, AIC., Community Bankers Securities, Waterford Investor Services.
Respondent Lawyers(s): Benjamin Skjold, Company President, George J. Gilbert, James Marvin Mitchell, Steven S. Biss
Arbitrator(s): Steven P. Gomberg, James F. Carlson, Michael S. Jordan
Hearing Site: Chicago, IL
| | $1,607,500 |
| 12-02310 | 04/25/2013 | Claimant(s): Christopher Hopkins
Claimant Lawyers(s): Marianna Cline
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Frank Samuelsohn, James F. Carlson, Evonne A. Hurst
Hearing Site: Milwaukee, WI
| | |
| 12-00957 | 04/12/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Ellen McDonough, Paul McDonough
Respondent Lawyers(s): Ellen McDonough, Paul J. McDonough
Arbitrator(s): James F. Carlson, Donald W. McKenzie, Allan Robert Ettinger
Hearing Site: Chicago, IL
| | Expungement |
| 09-04977 | 02/01/2013 | Claimant(s): The Urban Child Institute
Claimant Lawyers(s): Caroline Smith Gidiere
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): James F. Carlson, Linda T. Pellegrino, Martha Jeanne Wilcoxson
Hearing Site: Memphis, TN
| | $0 |
| 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 |
