| 23-01258 | 10/30/2023 | Claimant(s): Lois Graves, W. Graves
Claimant Lawyers(s): W. Joseph Graves
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Susan L. Walker
Hearing Site: Indianapolis, IN
|  | $0 |
| 12-02144 | 08/11/2023 | Claimant(s): John Dietz, Luis Pernia, Estate of William V. Johnson, Bocagrande Trust, Pienza Trust, dissolved Pernia Family Trust
Claimant Lawyers(s): Victor J. Pioli
Respondent(s): Loria Financial Group, MPS-Loria Financial Planners, RIM Securities LLC, Rochdale Investment Management, Rochdale Offshore Management
Respondent Lawyers(s): Jose A. Lopez, Nicholas P. Iavarone, Ronald P. Kane
Arbitrator(s): Michael S. Matek, Susan L. Walker, Yana Karnaukhov
Hearing Site: Chicago, IL
| | $0 |
| 20-02804 | 09/24/2021 | Claimant(s): Jon and Christine Sipe JTWROS
Claimant Lawyers(s): David B. Vermont
Respondent(s): Anastasios Belesis, Nathalo Menendez
Respondent Lawyers(s): Anastasios P. Belesis, Nathalo Ian Menendez
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 18-00366 | 07/20/2020 | Claimant(s): Cendrowski Selecky Professional Corp
Claimant Lawyers(s): Jessica Lynn Dagley
Respondent(s): Brent Kalka, David Nissen, Avantax Investment Services.
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Lynn Hirschfeld Brahin, Susan L. Walker, Walter Patrick Giblin
Hearing Site: Chicago, IL
| | $0 |
| 16-02506 | 07/12/2018 | Claimant(s): Sheldon & Judith Ferkey Revocable Trust
Claimant Lawyers(s): Michael Schaalman
Respondent(s): Judith Ferkey, TD Ameritrade Clearing., Sheldon Ferkey
Respondent Lawyers(s): Dana Sirkis Gloor, Michael Schaalman
Arbitrator(s): David J. Hase, Jonathan B. Gilbert, Susan L. Walker
Hearing Site: Milwaukee, WI
| | $0 |
| 16-00263 | 04/06/2018 | Claimant(s): Richard Struve
Claimant Lawyers(s): Bradley Schnur
Respondent(s): Michael Lavolpe
Respondent Lawyers(s): Michael Scott Lavolpe
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
| | $110,780 |
| 16-01635 | 11/20/2017 | Claimant(s): Thomas DeBacco
Claimant Lawyers(s): Charles W. German
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer N. Lamirand
Arbitrator(s): Susan L. Walker, Steven Joseph Streen, Brett Coonrod
Hearing Site: Kansas City, MO
| | $600 |
| 16-02475 | 10/23/2017 | Claimant(s): Bonita Michalec, Daniel Michalec
Claimant Lawyers(s): Phil Michalec
Respondent(s): David Wozniak, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ronald Kane
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 16-00180 | 05/24/2017 | Claimant(s): Marlene Lane
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Susan L. Walker, John L. Krauss, William Peter Kealey
Hearing Site: Indianapolis, IN
| | Expungement |
| 15-00681 | 11/01/2016 | Claimant(s): The Last Will & Testament of R.Gaffney
Claimant Lawyers(s): Nicholas P Iavarone
Respondent(s): Morgan Stanley, Richard Colbert
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Susan L. Walker, Shelby Webb, Walter Patrick Giblin
Hearing Site: Chicago, IL
| | $0 |
