| 19-00360 | 11/20/2019 | Claimant(s): Thomas Mullooly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas Cahill
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | |
| 18-00564 | 11/18/2019 | Claimant(s): Interactive Financial Advisors.
Claimant Lawyers(s): James L. Kopecky
Respondent(s): GWN Securities Inc.
Respondent Lawyers(s): Kathy Klock
Arbitrator(s): Theodore W. Wrobleski, Arne R. Rode, John Michael O'Toole
Hearing Site: Chicago, IL
| | |
| 17-01139 | 11/12/2019 | Claimant(s): Denise Kappel
Claimant Lawyers(s): Jack Samuel Tenenbaum
Respondent(s): Asher Wolmark, William Vellon, Kingsbury Capital Investment AdvisorsLLC, Kingsbury Capital Securities Inc, Kingsbury Capital., Kingsbury
Respondent Lawyers(s): Corporate Office, Nicholas P. Iavarone, William Vellon
Arbitrator(s): Ray J. Grzebielski, Thomas P. Valenti, Courtney Paige Delaney
Hearing Site: Chicago, IL
| | |
| 18-03007 | 10/24/2019 | Claimant(s): William Blair & Company L.L.C.
Claimant Lawyers(s): Gary I. Blackman
Respondent(s): Ajay Thomas
Respondent Lawyers(s): Clay Hartmann
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 18-04419 | 10/04/2019 | Claimant(s): Marc Jacobson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities., AXA Advisors
Respondent Lawyers(s): Alan S. Brodherson, Michael J. Biondi
Arbitrator(s): Kenneth N. Adamson
Hearing Site: Chicago, IL
| | |
| 18-04418 | 10/03/2019 | Claimant(s): Marc Jacobson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Equitable Life Assurance Society Of
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 19-00146 | 09/09/2019 | Claimant(s): Michael Rhodes
Claimant Lawyers(s): Michael Bessette
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 18-04438 | 09/05/2019 | Claimant(s): David Yaccino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Walter Patrick Giblin
Hearing Site: Chicago, IL
| | |
| 18-04434 | 08/16/2019 | Claimant(s): Chad Henry
Claimant Lawyers(s): Bryan M. Ward
Respondent(s): Robert W. Baird & Co. Incorporated, Ameriprise Financial Services., Sigma Financial Corporation
Respondent Lawyers(s): Howard M. Klausmeier, Paul Schultz, Randolph F. Pistor
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 18-04436 | 08/16/2019 | Claimant(s): Stuart Buck
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
| | |
