| 22-00700 | 08/24/2022 | Claimant(s): Randie Rowell
Claimant Lawyers(s): Sean Sweeney
Respondent(s): NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano
Arbitrator(s): Michael F. Jordan
Hearing Site: Milwaukee, WI
|  | $27,034 |
| 19-02993 | 12/16/2021 | Claimant(s): Mark Pflederer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Clifford Reid, Edward Rudiger, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Michael F. Jordan, Michele Braun, Pawan Bonner
Hearing Site: Chicago, IL
| | $0 |
| 19-01172 | 03/04/2021 | Claimant(s): Shirley Cummings
Claimant Lawyers(s): Eric Liebman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Michael F. Jordan, Steven Meyrich, Barry A. Fisher
Hearing Site: Denver, CO
| | $0 |
| 18-02242 | 11/20/2019 | Claimant(s): Donna Hosking, Dorene Stoffels, James Stoffels
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Forest Securities.
Respondent Lawyers(s): Christopher Wurtzinger
Arbitrator(s): Michael F. Jordan, Leonard G Leverson, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | $121,746 |
| 19-00500 | 06/27/2019 | Claimant(s): Mark Harrah, Mark. R. Harrah Roth IRA Account
Claimant Lawyers(s): Howard Prossnitz
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Peter J. Hardin
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | $20,600 |
| 15-02810 | 10/09/2018 | Claimant(s): Bonnie Faleschini, David Plimpton, Randy Reinke, Richard Faleschini, Sally Redding, Susan Plimpton, Tim Redding
Claimant Lawyers(s): Steven J. Weintraut
Respondent(s): Charles Zajicek, Christopher Most, Wachovia Securities, Wells Fargo Advisors, Wells Fargo Clearing Services
Respondent Lawyers(s): Miriam G. Bahcall
Arbitrator(s): Steven R. Christensen, Michael F. Jordan, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $430,000 |
| 08-03364 | 02/19/2014 | Claimant(s): David Abbott, James Abbott, Michael Abbott
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Charles Lane, RBC Capital Markets Corporation
Respondent Lawyers(s): Charles A. Lane, Ronald P. Kane
Arbitrator(s): Michael F. Jordan, Stephen C. Esposito, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $201,240 |
| 12-03492 | 07/17/2013 | Claimant(s): Jay Heller
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 11-03373 | 05/10/2013 | Claimant(s): Crown Metal Employee Manufacturing
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 09-05758 | 06/30/2011 | Claimant(s): Don Miller, Donald C. Miller Charles Schwab & Co. In
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
