| 11-00193 | 01/10/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): John Mann, Thomas Mann
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Mary Beth Wheeler, William C. Alsover, William M. Azkoul
Hearing Site: Detroit, MI
| | |
| 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 |
| 12-00050 | 07/20/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Kelly Chapman
Respondent Lawyers(s): Kelly Chapman
Arbitrator(s): Mary Beth Wheeler, Rody P. Biggert, Ann Wilhelmina Kuppe
Hearing Site: Chicago, IL
| | Expungement |
| 05-01877 | 03/25/2011 | Claimant(s): Mary Wheeler, Roger Wheeler & Mary Wheeler, JTWROS
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Scott Weissman
Respondent Lawyers(s): Scott H. Weissman
Arbitrator(s): Sandra L. Malek, Esther A. Spachner, Valerie Lewis
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 06-05209 | 05/30/2008 | Claimant(s): Carol Marubio, Richard Marubio
Claimant Lawyers(s): Mark P. Loftus
Respondent(s): James Sims, Robert Thurlby, MetLife Securities.
Respondent Lawyers(s): Penelope M. Taylor
Arbitrator(s): Mary Beth Wheeler, David John Diersen, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
