| 19-02585 | 04/09/2020 | Claimant(s): William Laheta
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
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| 18-01955 | 01/15/2020 | Claimant(s): David Vorbeck, Stephen Dunnuck, Stephen Wien
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Kim M. Ruckdaschel-Haley
Arbitrator(s): Thomas F. Mahoney, Donald Glen Russell, Timothy Crook
Hearing Site: Indianapolis, IN
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| 19-00451 | 10/01/2019 | Claimant(s): Russell Nieland
Claimant Lawyers(s): Matt Wolper
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Bethmarie Bohn
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Des Moines, IA
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| 19-00125 | 09/09/2019 | Claimant(s): Brian Luther
Claimant Lawyers(s): Megan S. Wright
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Thomas F. Mahoney, Charles G. Michaels, Bryan L. Johnson
Hearing Site: Omaha, NE
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| 18-01481 | 01/18/2019 | Claimant(s): David Sheppard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
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| 17-03011 | 07/23/2018 | Claimant(s): Roy Strong
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Indianapolis, IN
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| 17-03356 | 07/09/2018 | Claimant(s): Randall Lehman
Claimant Lawyers(s): Owen Harnett
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Indianapolis, IN
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| 15-00186 | 07/12/2017 | Claimant(s): Jose Valencia
Claimant Lawyers(s): Glen R. Gaffney
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): William F. Dugan
Arbitrator(s): Thomas F. Mahoney, Eugene N. Halladay, Roger Keith MacDougall
Hearing Site: Chicago, IL
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| 16-03365 | 03/01/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Jeremiah Charlson
Respondent Lawyers(s): Jeremiah Jens Charlson
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Rapid City, SD
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| 15-02080 | 10/11/2016 | Claimant(s): BMO Harris Financial Advisors.
Claimant Lawyers(s): Maria Kreiter
Respondent(s): Neil Moscicki, Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Frank Samuelsohn, Thomas F. Mahoney, Michael F. Jordan
Hearing Site: Chicago, IL
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