| 20-01082 | 10/02/2020 | Claimant(s): Gary Black
Claimant Lawyers(s): Gary Black
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
|  | $0 |
| 20-00512 | 06/16/2020 | Claimant(s): Cody Overstreet
Claimant Lawyers(s): Scott Holcomb
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Myra P Nicholson
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | |
| 14-01267 | 12/15/2017 | Claimant(s): Mark Aigner
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Miriam G. Bahcall
Arbitrator(s): Doris H. Geck, Marilee Roberg, Frank A. Dusek
Hearing Site: Chicago, IL
| | |
| 16-02697 | 11/30/2017 | Claimant(s): Naila Ahmed
Claimant Lawyers(s): John J Muldoon
Respondent(s): Morgan Stanley, Stephen Bowman
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Howard B. Silverman, Marilee Roberg, Gregory G. Gocek
Hearing Site: Chicago, IL
| | $37,170 |
| 16-02151 | 10/04/2017 | Claimant(s): Shawn Walton
Claimant Lawyers(s): Shawn Walton
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 15-02212 | 10/05/2016 | Claimant(s): Leaman Ames, Pamela Ames
Claimant Lawyers(s): Mitchell S. Chaban
Respondent(s): Brent Hurt, RBC Capital Markets LLC, Redridge Securities.
Respondent Lawyers(s): Brent Hurt, Ronald P. Kane
Arbitrator(s): Robert W. Edler, Marilee Roberg, Jules Ira Crystal
Hearing Site: Chicago, IL
| | $430,824 |
| 11-02019 | 07/26/2016 | Claimant(s): John Kelly, Ruth Kelly
Claimant Lawyers(s): James Borcia
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Leon Fox, Marilee Roberg, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $0 |
| 14-00908 | 01/23/2015 | Claimant(s): Wayne D. Atkins
Claimant Lawyers(s): Wayne D. Atkins
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 12-01243 | 06/04/2014 | Claimant(s): William Eglar
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Susanne J. Hollander, Marilee Roberg, Irving A. Chesler
Hearing Site: Chicago, IL
| | Expungement |
| 13-00583 | 05/16/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Ernest Newman
Respondent Lawyers(s): Thomas F. Asch
Arbitrator(s): Jeffrey W. Finke, Marilee Roberg, Gregory Allen Nie
Hearing Site: Chicago, IL
| | |
