| 12-03144 | 08/13/2013 | Claimant(s): Zhi Poon
Claimant Lawyers(s): Zhi C. Poon
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Franklin P. Chapman, Robert B. Schmidt, Steven David Leader
Hearing Site: New York, NY
| | |
| 11-00521 | 12/23/2011 | Claimant(s): Ghaleb Azroui
Claimant Lawyers(s): Ghaleb Azroui
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Robert S. Sugarman, Theodore L. Leeb, Robert B. Schmidt
Hearing Site: Chicago, IL
|  | $0 |
| 09-01691 | 01/27/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): James Dingle
Respondent Lawyers(s): Alan Block
Arbitrator(s): Robert B. Schmidt, Richard J. Belmonte, Stephen M. Slavin
Hearing Site: Chicago, IL
| | |
| 09-00550 | 11/11/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Stroup
Respondent Lawyers(s): William Clayton Stroup
Arbitrator(s): Frank F. Foys, Robert B. Schmidt, Suanne F. Goldman
Hearing Site: Chicago, IL
| | |
| 08-00792 | 06/08/2009 | Claimant(s): John Ingels
Claimant Lawyers(s): John A. Dienner
Respondent(s): Margaret Adams, DWS Scudder Distributors.
Respondent Lawyers(s): William F. Dugan
Arbitrator(s): John N. Chapin, Lawrence Tepper, Robert B. Schmidt
Hearing Site: Chicago, IL
| | |
| 06-01645 | 07/09/2008 | Claimant(s): Gail Wasserman, Wexler Meat Co. Profit Sharing Trust
Claimant Lawyers(s): Elliot M. Samuels
Respondent(s): Barry Rosenberg, Mesirow Financial.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Jeffrey W. Finke, Robert B. Schmidt, Nicolaus Bruns
Hearing Site: Chicago, IL
| | $0 |
