| 23-01978 | 06/10/2024 | Claimant(s): Marc Jacobson
Claimant Lawyers(s): Owen Harnett
Respondent(s): Pruco Securities., Equitable Advisors
Respondent Lawyers(s): Jennifer E. Novoselsky, Michael J. Biondi
Arbitrator(s): Leon Fox, Raymond P. Buschmann, James Hofheimer
Hearing Site: Chicago, IL
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| 23-02491 | 02/26/2024 | Claimant(s): Raymond James & Associates.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Katherine Tarbox
Respondent Lawyers(s): Katherine Alexandra Tarbox
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
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| 23-00865 | 11/15/2023 | Claimant(s): Gery Sadzewicz
Claimant Lawyers(s): Barry P. Kaltenbach
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth R. Aylett
Arbitrator(s): Raymond P. Buschmann, Sally J. Wiggins, Jacob Gorr
Hearing Site: Chicago, IL
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| 23-01581 | 09/19/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Todd Barden
Respondent Lawyers(s): Todd J Barden
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Milwaukee, WI
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| 20-00381 | 12/10/2020 | Claimant(s): Steven Lopez
Claimant Lawyers(s): James Eccleston
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services, Olde Discount Corporation
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Frank Samuelsohn, Kenneth N. Adamson, Raymond P. Buschmann
Hearing Site: Chicago, IL
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| 16-02894 | 04/05/2017 | Claimant(s): Edward Camp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CFD Investments., Spectrum Investment Services.
Respondent Lawyers(s): Mary Lou Sanders, Matthew Bahrenburg
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
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| 16-00920 | 09/19/2016 | Claimant(s): Wunderlich Securities.
Claimant Lawyers(s): James T. Ritt
Respondent(s): James Tolbert
Respondent Lawyers(s): James Allen Tolbert
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
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| 15-01217 | 07/12/2016 | Claimant(s): David A. Noyes & Company
Claimant Lawyers(s): Daryl M. Schumacher
Respondent(s): Anthony Falco, John Bouckaert, Peter Vick, Thomas Bono, Monere Investments.
Respondent Lawyers(s): Bernard F. Doyle, Robert J. Trizna
Arbitrator(s): Sanford J. Prizant, Champ W. Davis, Raymond P. Buschmann
Hearing Site: Chicago, IL
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| 13-03638 | 04/16/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shira Forman
Respondent(s): David Kosobucki
Respondent Lawyers(s): David Kosobucki
Arbitrator(s): Raymond P. Buschmann
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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