13-01058 | 04/29/2015 | Claimant(s): First Midstate Incorporated Claimant Lawyers(s): David A. Genelly Respondent(s): Stifel, Nicolaus & Co.., Kevin Heid Respondent Lawyers(s): Richard H. Kuhlman Arbitrator(s): Robert S. Sugarman, Susan L. Walker, Harvey R. Herman Hearing Site: Chicago, IL
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12-03901 | 03/10/2015 | Claimant(s): Sandra Harder Claimant Lawyers(s): Erwin Cohn Respondent(s): Benjamin Pahl, Fidelity Brokerage Services LLC, Money Concepts Capital Corp Respondent Lawyers(s): Joel M. Everest, Kathy M. Klock Arbitrator(s): Kenneth N. Adamson, Susanne J. Hollander, Harvey R. Herman Hearing Site: Chicago, IL
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12-03494 | 08/19/2014 | Claimant(s): Craig Urban Claimant Lawyers(s): Craig B. Urban Respondent(s): Chase Investment Services Corp. Respondent Lawyers(s): Anna Wermuth Arbitrator(s): Rody P. Biggert, Raymond P. Buschmann, Harvey R. Herman Hearing Site: Chicago, IL
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11-04371 | 09/18/2013 | Claimant(s): Gary Burgess Claimant Lawyers(s): Nicholas P. Iavarone Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Ira Rosenstein Arbitrator(s): Daniel R. Formeller, David M. Zimberoff, Harvey R. Herman Hearing Site: Chicago, IL
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08-02295 | 01/05/2010 | Claimant(s): Thomas Engelhard Claimant Lawyers(s): Ronald M. Amato Respondent(s): Hartford Equity Sales Copany Inc. Respondent Lawyers(s): Peter R. Bulmer Arbitrator(s): Thomas F. Mahoney, Kenneth J. Good, Harvey R. Herman Hearing Site: Chicago, IL
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