| 12-02141 | 03/22/2013 | Claimant(s): Robert I. Spiegel Trust Number 100
Claimant Lawyers(s): Mona Lawton
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
|  | $0 |
| 11-04341 | 04/24/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Kenneth Koger
Respondent Lawyers(s): Kenneth Koger
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
| | |
| 09-04970 | 10/24/2011 | Claimant(s): Debbie Kuerth, Steve Kuerth
Claimant Lawyers(s): David Neuman
Respondent(s): Jon Pearn
Respondent Lawyers(s): Carla B. Minckley
Arbitrator(s): Lee H. Goodman, Michael Stephen Knight, James A. Murphy
Hearing Site: Chicago, IL
| | Expungement |
| 10-05156 | 09/28/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Jennifer Adorjan
Respondent Lawyers(s): Jennifer S. Adorjan
Arbitrator(s): Sanford J. Prizant, Lee H. Goodman, Irving A. Chesler
Hearing Site: Chicago, IL
| | |
| 10-02160 | 08/05/2011 | Claimant(s): Richard Irsay, Steven Irsay
Claimant Lawyers(s): Steven Irsay
Respondent(s): Wachovia Securities, Danica King, Daniel Hughes, Gregory Wells, Woodrow Jones
Respondent Lawyers(s): Danica King, Steven D. Hamilton
Arbitrator(s): Lee H. Goodman, Leonard Arthur Nelson, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $78,343 |
| 11-00135 | 06/29/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael Naccarato
Respondent(s): Laurence Debord
Respondent Lawyers(s): Laurence J. Debord
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
| | |
| 09-01961 | 01/21/2011 | Claimant(s): Cynthia Brown, Wayne Brown
Claimant Lawyers(s): Joel M. Weiner
Respondent(s): Wachovia Securities, Dennis Anderson
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Ray J. Grzebielski, Jay K. Buck, Lee H. Goodman
Hearing Site: Chicago, IL
| | $0 |
| 09-03911 | 08/02/2010 | Claimant(s): Linda Whitesell
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Bruce Biedar, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Jerome J. Brault, Lee H. Goodman, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 08-03766 | 10/12/2009 | Claimant(s): Karen Kennedy, Karen Muto Kennedy, Roth IRA, Trustee RMA Acct., Trustee of Mge Acct
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Lee H. Goodman, Jacqueline Stanley Lustig, Samuel Olutola Akeju
Hearing Site: Chicago, IL
| | $0 |
| 07-02188 | 01/18/2008 | Claimant(s): Minxin Bao
Claimant Lawyers(s): Minxin Bao
Respondent(s): Firstrade Securities.
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
| | $25,392 |
