| 12-00554 | 05/12/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Wells Fargo Advisors, David Kinnear
Respondent Lawyers(s): Gary I. Blackman
Arbitrator(s): G. Gale Roberson, Robert J. Larson, Rody P. Biggert
Hearing Site: Chicago, IL
| | |
| 15-00692 | 03/17/2016 | Claimant(s): Yaser Moustafa
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Romano Brothers And Company
Respondent Lawyers(s): William B. Berndt
Arbitrator(s): Thomas F. Mahoney, G. Gale Roberson, Daniel R. Formeller
Hearing Site: Chicago, IL
|  | $155,000 |
| 13-00188 | 02/21/2014 | Claimant(s): Ghaleb Azroui
Claimant Lawyers(s): Ghaleb K Azroui
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): John E. Parkes, G. Gale Roberson, Jerome F. Crotty
Hearing Site: Chicago, IL
| | $0 |
| 12-00184 | 08/23/2013 | Claimant(s): Joseph Churchill
Claimant Lawyers(s): Guy K. Fish
Respondent(s): Patrick O'Brien, B. C. Ziegler And Company
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): G. Gale Roberson, Jerry D. Mc Cormack, Robert Biondi
Hearing Site: Milwaukee, WI
| | $0 |
| 12-00511 | 04/16/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Gerry Giurato
Respondent(s): Paul Renard
Respondent Lawyers(s): Steve Ferris
Arbitrator(s): G. Gale Roberson, Donald V. Anderson, Donald E. Sorensen
Hearing Site: Milwaukee, WI
| | |
| 08-04071 | 06/09/2009 | Claimant(s): Kathleen Bronkalla
Claimant Lawyers(s): Kathleen Bronkalla
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Michael S. Matek, G. Gale Roberson, Scott Stauffer
Hearing Site: Chicago, IL
| | $0 |
| 07-03401 | 02/19/2009 | Claimant(s): Jane Buschkopf, Jeanne McFadden, Kenneth Graff, Mary Buschkopf, Mary Jo Graff
Claimant Lawyers(s): John S. Chapman
Respondent(s): Stanley Klimek, Capital Securities Investments Corp.
Respondent Lawyers(s): Paul M. Weltlich
Arbitrator(s): G. Gale Roberson, Jerome Stern, Shelby Webb
Hearing Site: Chicago, IL
| | $0 |
| 07-01620 | 03/24/2008 | Claimant(s): Almax Investments LLC
Claimant Lawyers(s): Stephen P. Bedell
Respondent(s): Michael Moore, Sarah Moore, EROOM Securities LLC
Respondent Lawyers(s): Jennifer Zordani
Arbitrator(s): G. Gale Roberson, Mark E. Larson, James Michael Bailey
Hearing Site: Chicago, IL
| | |
