| 21-00163 | 07/23/2021 | Claimant(s): Sean Falk
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NT Securities LLC
Respondent Lawyers(s): Larry Nocek
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
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| 17-02748 | 01/22/2019 | Claimant(s): Charles Werckenthien
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Casey M. Stevenson
Arbitrator(s): Charles Orlove
Hearing Site: Indianapolis, IN
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| 17-03144 | 10/18/2018 | Claimant(s): Lashel Lentz
Claimant Lawyers(s): Armin Sarabi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Charles Orlove
Hearing Site: Milwaukee, WI
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| 18-00698 | 08/31/2018 | Claimant(s): Mark Birringer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
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| 17-00031 | 12/18/2017 | Claimant(s): James McQuinn
Claimant Lawyers(s): James Peter McQuinn
Respondent(s): Alexandra Moran, Ameriprise Financial Services., Jacob Dunlap
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Michael S. Matek, Daniel R. Formeller, Charles Orlove
Hearing Site: Chicago, IL
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| 15-01452 | 12/20/2016 | Claimant(s): Kimberly Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas F. Ryan, Charles Orlove, Michael J. Rappa
Hearing Site: Chicago, IL
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| 15-01780 | 05/24/2016 | Claimant(s): Marc Kalter
Claimant Lawyers(s): Timothy Feil
Respondent(s): Gary Thome
Respondent Lawyers(s): Hilton Weiner
Arbitrator(s): Charles Orlove, Kerry C. Koep, Frank Abramson
Hearing Site: Minneapolis, MN
| | Expungement |
| 15-01297 | 12/04/2015 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): James Madden
Respondent Lawyers(s): Ann Marie Waldron
Arbitrator(s): Charles Orlove
Hearing Site: Indianapolis, IN
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| 11-02403 | 08/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Paul Westphal
Respondent Lawyers(s): Michael H. Schaalman
Arbitrator(s): Evonne A. Hurst, Donald V. Anderson, Charles Orlove
Hearing Site: Milwaukee, WI
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