| 22-02723 | 06/28/2023 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
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| 22-00377 | 06/16/2023 | Claimant(s): James Gualandi
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Edward Jones
Respondent Lawyers(s): Roger P. Meyers
Arbitrator(s): Philip J. Glick, Jacqueline Stanley Lustig, Elizabeth Horne
Hearing Site: Chicago, IL
| | Expungement |
| 22-02296 | 06/15/2023 | Claimant(s): Mark Thorndyke
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
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| 22-02659 | 06/13/2023 | Claimant(s): Chenguttuvan Surendran
Claimant Lawyers(s): James P. Galvin
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Sue Zouky
Arbitrator(s): Susanne J. Hollander, James Hofheimer, Jean Jacques Kande
Hearing Site: Chicago, IL
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| 22-01225 | 06/02/2023 | Claimant(s): Matthew King
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
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| 22-01684 | 05/22/2023 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Matthew Reynolds
Respondent Lawyers(s): John S. Monical
Arbitrator(s): Alexis Anne Washa, Matthew D Arbit, Matthew Lane
Hearing Site: Chicago, IL
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| 22-01666 | 05/12/2023 | Claimant(s): Joseph Kruse
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): McClellon D. Cox
Arbitrator(s): Maya Steinitz
Hearing Site: Chicago, IL
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| 22-00341 | 05/11/2023 | Claimant(s): Hilltop Securities Inc.
Claimant Lawyers(s): Andrew P. Shelby
Respondent(s): Daniel Heidkamp, Mark Ritchie, Patrick Tierney, Colliers Securities LLC
Respondent Lawyers(s): Michael D. Lee
Arbitrator(s): Theodore W. Wrobleski, Lawrence W. Arness, Kristi Lynn Nelson
Hearing Site: Chicago, IL
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| 22-01926 | 05/08/2023 | Claimant(s): Robert Westropp
Claimant Lawyers(s): Eric A. Bensky
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sarah Zimmer
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
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| 22-00020 | 05/05/2023 | Claimant(s): Bryan Sullivan
Claimant Lawyers(s): Ruth I. Major
Respondent(s): Wells Fargo Clearing Services, Robert Wellford
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
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