| 22-00063 | 08/16/2022 | Claimant(s): Steven Laporta
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Lawrence W. Arness
Hearing Site: Chicago, IL
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| 22-00910 | 08/16/2022 | Claimant(s): IFS Liquidation Trust
Claimant Lawyers(s): Richard E. Brodsky
Respondent(s): Keith Wakefield
Respondent Lawyers(s): Keith Wakefield
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
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| 22-00051 | 08/03/2022 | Claimant(s): Steven Laporta
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
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| 22-00072 | 06/17/2022 | Claimant(s): Annette Findling
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
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| 21-01754 | 06/15/2022 | Claimant(s): John Freiburger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
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| 21-02211 | 06/02/2022 | Claimant(s): Timothy O'Connor
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley DW Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Suzette J. Barnes, W. Preston Martin
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
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| 21-00301 | 05/31/2022 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Barry Krumwiede, Bryan Schneider, Christopher Bowman
Respondent Lawyers(s): James V. Garvey
Arbitrator(s): Leon Fox, Christopher Crimer, Michele Braun
Hearing Site: Chicago, IL
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| 21-00471 | 05/11/2022 | Claimant(s): McHenry Savings Bank
Claimant Lawyers(s): Maria L. Kreiter
Respondent(s): Cambridge Investment Research., Vickie Benedetti, Cambridge Investment Research Advisors
Respondent Lawyers(s): Richard H. Kuhlman, Vickie Lynn Benedetti
Arbitrator(s): Daniel R. Formeller, Frances P. Kao, Cynthia Ross Polayes
Hearing Site: Chicago, IL
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| 21-01861 | 04/27/2022 | Claimant(s): Mason Hallett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
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| 21-02478 | 04/08/2022 | Claimant(s): Ranjit Bahadur
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
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