| 11-02628 | 06/14/2013 | Claimant(s): Lutgarda Mical, Stanley Mical
Claimant Lawyers(s): Stanley J. Mical
Respondent(s): E*Trade Securities LLC, Stuart Novoselsky
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Alan E. Case, Philip J. Glick, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
|  | $0 |
| 10-04762 | 04/20/2012 | Claimant(s): James Thom
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Scott Steinke, B. C. Ziegler And Company
Respondent Lawyers(s): John A. Luburic
Arbitrator(s): Alan E. Case, Donald V. Anderson, Fredric R. Dichter
Hearing Site: Milwaukee, WI
| | $186,390 |
| 09-05477 | 03/28/2011 | Claimant(s): Roy Cook, Oak Brook Strategic Investment Advisors
Claimant Lawyers(s): Ruth I. Major
Respondent(s): Baker Tilly Capital, Baker Tilly Investment Advisors, Baker Tilly Virchow Krause, LLP
Respondent Lawyers(s): Kevin D. McHugh
Arbitrator(s): Alan E. Case, Theodore W. Wrobleski, Joseph D. Savino
Hearing Site: Chicago, IL
| | |
| 07-00340 | 06/12/2008 | Claimant(s): Purita MacKey, Purita Mackey Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Jonathan Zulauf, Edward Jones
Respondent Lawyers(s): Peter B. Shaeffer, Robert P. Bramnik
Arbitrator(s): Alan E. Case, Gordon B. Shneider, Joseph D. Savino
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
