| 22-01870 | 05/01/2023 | Claimant(s): Byron Crowe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Byron Crowe
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
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| 21-02745 | 03/31/2023 | Claimant(s): Jonathon Merickel
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): E*Trade Securities LLC, Laura Catalano
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Lawrence W. Arness, Lynn Hirschfeld Brahin, Bernadett R DeLise
Hearing Site: Chicago, IL
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| 23-00026 | 03/22/2023 | Claimant(s): John Jacobs
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
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| 22-01560 | 02/14/2023 | Claimant(s): David Hirsch
Claimant Lawyers(s): Heather B. Middleton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
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| 21-00034 | 12/15/2022 | Claimant(s): Mark Birringer
Claimant Lawyers(s): John David Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Thomas Michael Genovese, Matthew D Arbit, Robert Joseph Musur
Hearing Site: Chicago, IL
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| 22-00940 | 11/15/2022 | Claimant(s): Anthony Vito
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Arne R. Rode
Hearing Site: Chicago, IL
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| 21-01761 | 11/07/2022 | Claimant(s): Carlos Legaspy
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Insight Securities.
Respondent Lawyers(s): James Gaafar
Arbitrator(s): Lawrence W. Arness, Marilee Roberg, Seymour Andrew Newman
Hearing Site: Chicago, IL
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| 22-00182 | 10/11/2022 | Claimant(s): Matthew Lohr
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
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| 22-00529 | 09/26/2022 | Claimant(s): Nathan Kinzinger
Claimant Lawyers(s): Michael P. Tomlinson
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Mitchell Lee Marinello, Leonard Arthur Nelson, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
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| 21-02954 | 09/23/2022 | Claimant(s): Tara Schutz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Maya Steinitz
Hearing Site: Chicago, IL
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