| 19-03003 | 03/12/2020 | Claimant(s): tastyworks.
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Syed Ali
Respondent Lawyers(s): Syed Ali
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
|  | Dismissed |
| 17-03296 | 03/10/2020 | Claimant(s): Jennifer Pavlik, Jon Pavlik, Jennifer Pavlik Roth IRA, Jon Pavlik Roth IRA, Edward J. Pavlik Rev Trust DTD 3/9/82
Claimant Lawyers(s): Edward Pavlik
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Steven H. Vogel, Michael R. Sherwin, Thomas P. Valenti
Hearing Site: Chicago, IL
| | Dismissed by Rule 12212(c) |
| 18-00990 | 02/27/2020 | Claimant(s): Yonata Berman
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Andalman, PTI Securities & Futures L. P.
Respondent Lawyers(s): Glenn Seiden, Gregg Rzepczynski
Arbitrator(s): Larry Evert Carlson, Jacqueline Stanley Lustig, Bernadett R DeLise
Hearing Site: Chicago, IL
| | $170,700 |
| 17-00463 | 01/20/2020 | Claimant(s): Shahida Hossain
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lindsay Wuller
Arbitrator(s): Ray J. Grzebielski, Robert J. Larson, Elizabeth C. Burton
Hearing Site: Chicago, IL
| | $0 |
| 19-01509 | 01/09/2020 | Claimant(s): Gale Penn, Robert Penn
Claimant Lawyers(s): Gary Menzer
Respondent(s): Anthony Hobson, Next Financial Group.
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): Mark L Miller, Steven M. Bierig, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
| 19-00026 | 11/29/2019 | Claimant(s): Sabine Miller
Claimant Lawyers(s): D. Daxton White
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Marcia Bonita Gevers
Hearing Site: Chicago, IL
| | $71,225 |
| 15-01143 | 11/20/2019 | Claimant(s): The Estate of Carl G. Kline
Claimant Lawyers(s): Rebecca Davies
Respondent(s): Marc Greenberg
Respondent Lawyers(s): Marc Greenberg
Arbitrator(s): Epaminondas Eddie Manelis, Edward Louis Koven, Darlene L. Redmond
Hearing Site: Chicago, IL
| | Expungement |
| 19-01027 | 11/01/2019 | Claimant(s): Matthew Lemke
Claimant Lawyers(s): John A. Dienner
Respondent(s): Karen Cwichon
Respondent Lawyers(s): Karen M. Cwichon
Arbitrator(s): Michael S. Matek, Theodore W. Wrobleski, Leon Fox
Hearing Site: Chicago, IL
| | Expungement |
| 19-01474 | 10/18/2019 | Claimant(s): Al Zvinakis as FPOA for Regina Zvinakis
Claimant Lawyers(s): Al Zvinakis
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | $0 |
| 19-01154 | 09/18/2019 | Claimant(s): Sandra Cott
Claimant Lawyers(s): Sandra K. Cott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $0 |
