| 19-00988 | 08/12/2019 | Claimant(s): Ustocktrade Securities.
Claimant Lawyers(s): Francesco Matteini
Respondent(s): Jamal Woods
Respondent Lawyers(s): Jamal Woods
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
|  | $0 |
| 18-01492 | 08/06/2019 | Claimant(s): James Welser
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Kalos Capital.
Respondent Lawyers(s): Kevin O'Hagen
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
| | Expungement |
| 17-01254 | 08/05/2019 | Claimant(s): Bin Liu, Bing Dao, Daquan Li, Fawn Lin-Moy, Folim Halaka, Hailin Yan, Hana Shenouda, Hang Yuan, Jan Cheng, Jia Liu, Jie Chen, John Pollick, Jun Zhou, Ke Zhang, Ling Li, Liping Zhong, Min Zhang, Minqi Wan, Mu Liu, Philip Zou, et al
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Sara Ng
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Philip J. Glick, Elizabeth C. Simon, Michael R. Sherwin
Hearing Site: Chicago, IL
| | Expungement |
| 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 |
| 18-02763 | 06/18/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Syed Ali
Respondent Lawyers(s): Syed Ali
Arbitrator(s): Elizabeth C. Simon
Hearing Site: Chicago, IL
| | $0 |
| 18-00937 | 05/31/2019 | Claimant(s): West Chicago Police Pension Fund
Claimant Lawyers(s): Jeffrey Finley
Respondent(s): Edward Jones
Respondent Lawyers(s): Alexander Martin Madrid
Arbitrator(s): Ray J. Grzebielski, Robert Biondi, Adrian E. Mazar
Hearing Site: Chicago, IL
| | $0 |
| 18-02578 | 03/27/2019 | Claimant(s): William Moultrie
Claimant Lawyers(s): William A. Moultrie
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
| | $0 |
| 17-01335 | 03/22/2019 | Claimant(s): UTMA Accounts Ending 383 and 385, Wendy A. Davies Revocable Trust 3-16-07
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Ray J. Grzebielski, Alfonso Cobb
Hearing Site: Chicago, IL
| | Expungement |
| 17-02795 | 02/14/2019 | Claimant(s): Carol Brink
Claimant Lawyers(s): Lydia M. Floyd
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Sal Presti, Debra Granat Grudichak, Mark W Solock
Hearing Site: Chicago, IL
| | Expungement |
| 17-03316 | 02/04/2019 | Claimant(s): Nicholas McClanahan
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Ray J. Grzebielski, Gerald F DeNotto, Robert S. Grabemann
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
