| 23-02477 | 11/18/2024 | Claimant(s): Ordower & Ordower P.C. Pension
Claimant Lawyers(s): Lawrence Ordower
Respondent(s): Carlo Licata, Craig Zvonar, Morgan Stanley, Mark Evans
Respondent Lawyers(s): Brandy Fernandez
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
|  | Expungement |
| 23-03644 | 10/31/2024 | Claimant(s): April Schuster, Jennifer Smykowski, Marina Heine, Michael Hall, Patricia Labrosciano, Peter Smykowski, Roy Heine, Robert E. Prost & Rita R. Prost Trust
Claimant Lawyers(s): Adam J. Gana, Jonathan Kurta
Respondent(s): Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Alden Sharp Adkins, John William Kenesey, Lisa M. Lilly
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 24-00449 | 10/28/2024 | Claimant(s): Anthony Vitale
Claimant Lawyers(s): Anthony Vitale
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Alan D. Romero
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | $270 |
| 22-02857 | 10/07/2024 | Claimant(s): David Wojcik, David R. Wojcik IRA
Claimant Lawyers(s): Chase Carlson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Josette Belvedere, Marcia Bonita Gevers, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | Expungement |
| 23-01188 | 09/23/2024 | Claimant(s): Winifred Botkin, Winifred Botkin Trust
Claimant Lawyers(s): Janis Jannusch
Respondent(s): Stephen Sperling, Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | Expungement |
| 22-01935 | 09/10/2024 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Mark Mappa, Kestra Investment Services
Respondent Lawyers(s): Andrew S. May, Lydia R. Zaidman
Arbitrator(s): Michael S. Matek, Larry Evert Carlson, Richard Michael Stanton
Hearing Site: Chicago, IL
| | $0 |
| 24-00940 | 08/27/2024 | Claimant(s): Tashay Myrick
Claimant Lawyers(s): Tashay Myrick
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 23-00791 | 08/19/2024 | Claimant(s): Eleanore Plewacki, Mark Plewacki
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Stuart D. Summers, Raymond P. Buschmann, Timothy Chron
Hearing Site: Chicago, IL
| | Expungement |
| 23-01074 | 05/23/2024 | Claimant(s): Kay Klein, Roy Klein
Claimant Lawyers(s): Christopher Lufrano
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Sal Presti, Gregory G. Gocek, Debra J. Tucker
Hearing Site: Chicago, IL
| | Expungement |
| 22-01455 | 04/30/2024 | Claimant(s): Raymond Paller
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Mark L Miller, Susan M. Coleman, Lisa M. Krimen
Hearing Site: Chicago, IL
| | $0 |
