| 14-02170 | 01/29/2019 | Claimant(s): John Fichera, John Hoidas, Lawrence Doody
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): William Vellon, Kingsbury Capital LLC, Spencer Trask Ventures.
Respondent Lawyers(s): Barry M. Bordetsky, Nicholas P. Iavarone
Arbitrator(s): Michael S. Matek, Thomas F. Ryan, Michael Nathanson
Hearing Site: Chicago, IL
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| 18-00247 | 11/16/2018 | Claimant(s): Edward Fox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirde Wolff
Arbitrator(s): Michael S. Matek
Hearing Site: Milwaukee, WI
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| 17-02044 | 04/05/2018 | Claimant(s): James Garner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Michael S. Matek
Hearing Site: Denver, CO
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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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| 13-02544 | 07/12/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Rick Konecny
Respondent Lawyers(s): Rick Douglas Konecny
Arbitrator(s): Michael S. Matek, Michael F. Jordan, Craig D. Cook
Hearing Site: Chicago, IL
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| 13-03636 | 03/22/2016 | Claimant(s): Cliqusean Green
Claimant Lawyers(s): Erin E. Hanson
Respondent(s): Ameriprise Financial Services., American Express Financial Advisors
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Michael S. Matek, Donald W. McKenzie, Rita J. Jacyna Curley
Hearing Site: Chicago, IL
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| 11-04417 | 09/24/2014 | Claimant(s): James Engelbrecht
Claimant Lawyers(s): James M. Engelbrecht
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Michael S. Matek, Gregory G. Wille, Mark A. Frankel
Hearing Site: Milwaukee, WI
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| 12-03180 | 12/30/2013 | Claimant(s): Vincent Romano
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas F. Hurka
Arbitrator(s): Michael S. Matek, Michael I. White, Loren H. Newman
Hearing Site: Chicago, IL
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| 13-01325 | 09/20/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman, Jonathan D. Berg
Respondent(s): Naseem Salamah
Respondent Lawyers(s): Rene Hernandez
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
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| 11-03825 | 08/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Brian Sak
Respondent Lawyers(s): William S. Bazianos
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
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