| 20-03827 | 11/18/2021 | Claimant(s): Craig Pearlman
Claimant Lawyers(s): Jacob L. Kahn
Respondent(s): Aon Securities
Respondent Lawyers(s): David M. Katz
Arbitrator(s): Mark W Solock
Hearing Site: Chicago, IL
| | |
| 16-02825 | 11/05/2021 | Claimant(s): David Hirsch, James Kelly, James Whitney, Mark Hutchinson, Mary DiChristofano, Michael Board, Michael Sakach, Paul Vandenheuvel
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Brian E. Spang
Arbitrator(s): Steven H. Vogel, Leonard Arthur Nelson, Richard Lane Miller
Hearing Site: Chicago, IL
| | |
| 19-00633 | 11/01/2021 | Claimant(s): Chukwuemeka Nwasike
Claimant Lawyers(s): Chiquita Hall-Jackson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Samuel Mauch
Arbitrator(s): Mark L Miller, Leon Fox, Alicia Hilton
Hearing Site: Chicago, IL
| | |
| 19-03185 | 10/22/2021 | Claimant(s): Bill Rizos
Claimant Lawyers(s): Laurence Landsman
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): David E. Morrison
Arbitrator(s): Michael S. Matek, Stuart D. Summers, Daniel Baruch Lidawer
Hearing Site: Chicago, IL
| | |
| 20-02929 | 10/05/2021 | Claimant(s): Thomas Brough
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
| | |
| 20-02707 | 09/27/2021 | Claimant(s): Erik Feldhaus
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Maria L. Kreiter
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | |
| 20-03118 | 09/15/2021 | Claimant(s): Jay Cunningham
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
| | |
| 20-02415 | 08/26/2021 | Claimant(s): Levant Bishop
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
| | |
| 21-00196 | 08/24/2021 | Claimant(s): Eric Rocks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): R. Samuel Gilley
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 19-03088 | 08/04/2021 | Claimant(s): Brooklight Place Securities.
Claimant Lawyers(s): Kristi L. Browne
Respondent(s): Charles Brettell, Joanne Woiteshek, Richard Peterbok, Interactive Financial Advisors.
Respondent Lawyers(s): James L. Kopecky, Kristi L. Browne
Arbitrator(s): Joy Pava Shulruff, Jacqueline Stanley Lustig, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | |
