| 20-00381 | 12/10/2020 | Claimant(s): Steven Lopez
Claimant Lawyers(s): James Eccleston
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services, Olde Discount Corporation
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Frank Samuelsohn, Kenneth N. Adamson, Raymond P. Buschmann
Hearing Site: Chicago, IL
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| 15-02080 | 10/11/2016 | Claimant(s): BMO Harris Financial Advisors.
Claimant Lawyers(s): Maria Kreiter
Respondent(s): Neil Moscicki, Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Frank Samuelsohn, Thomas F. Mahoney, Michael F. Jordan
Hearing Site: Chicago, IL
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| 15-02270 | 08/24/2016 | Claimant(s): Douglas McConnell
Claimant Lawyers(s): Jerome F. Crotty
Respondent(s): McClendon, Morrison & Partners.
Respondent Lawyers(s): Patrick J. Keating
Arbitrator(s): Frank Samuelsohn, Jonathan B. Gilbert, Martin A. Duncan
Hearing Site: Chicago, IL
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| 12-02453 | 09/19/2013 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Patrick G. King
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Frank Samuelsohn, Susan L. Walker, Marcia Bonita Gevers
Hearing Site: Chicago, IL
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| 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
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