22-02691 | 09/15/2023 | Claimant(s): Rechard Banks-Davis Claimant Lawyers(s): Rechard Antonio Banks-Davis Respondent(s): Austin Witt, Charles Schwab & Co.. Respondent Lawyers(s): Joseph L. Siders Arbitrator(s): Michael S. Jordan Hearing Site: Chicago, IL
| | $0 |
23-00267 | 09/05/2023 | Claimant(s): Marcia Litrenta Claimant Lawyers(s): William B. Young Respondent(s): LPL Financial LLC Respondent Lawyers(s): Mike West Arbitrator(s): Raymond P. Buschmann Hearing Site: Chicago, IL
| | Expungement |
23-00447 | 09/01/2023 | Claimant(s): Margaret Burnes Claimant Lawyers(s): Margaret Burnes Respondent(s): Gerald Markwith, Charles Schwab & Co.. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Mark L Miller Hearing Site: Chicago, IL
| | Expungement |
22-00307 | 08/31/2023 | Claimant(s): Roxanne Gottlieb Claimant Lawyers(s): Anthony F. Fata Respondent(s): Matrix Capital Advisors Respondent Lawyers(s): John M. O'Bryan Arbitrator(s): Thomas Michael Genovese, Dianne Marie Onichimowski, Richard Michael Stanton Hearing Site: Chicago, IL
| | $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 |
22-01990 | 07/11/2023 | Claimant(s): Jane Doyle Claimant Lawyers(s): Jane Doyle Respondent(s): Scott Schechter, NYLife Securities LLC Respondent Lawyers(s): Daniel A. Hetzel Arbitrator(s): Mark L Miller, Alan M. Wolper, Steven H. Vogel Hearing Site: Chicago, IL
| | Expungement |
21-01766 | 04/10/2023 | Claimant(s): Joseph Kutches Claimant Lawyers(s): Jonathan Kurta Respondent(s): World Equity Group. Respondent Lawyers(s): Benjamin J. Biard Arbitrator(s): Mark L Miller, Edward John Zulkey, Gerald G Saltarelli Hearing Site: Chicago, IL
| | $0 |
21-02264 | 03/23/2023 | Claimant(s): Estate of Ellard (through PR) Claimant Lawyers(s): Anthony F. Fata Respondent(s): Morgan Stanley Respondent Lawyers(s): Elizabeth H. Lindh Arbitrator(s): Dianne Marie Onichimowski, Mark W Solock, Matthew James Mc Carter Hearing Site: Chicago, IL
| | $782,273 |
21-01817 | 03/23/2023 | Claimant(s): Roger Johnson Claimant Lawyers(s): David Vermont Respondent(s): Frank Black, Kostas Tsamos, Southeast Investments, N.C.. Respondent Lawyers(s): Alan M. Wolper, Liam O'Brien Arbitrator(s): Larry Evert Carlson, Marilee Roberg, Howard T. Goffen Hearing Site: Chicago, IL
| | $0 |
22-01983 | 03/21/2023 | Claimant(s): James Passarelli Claimant Lawyers(s): Andrew Duncan Respondent(s): Nicholas Adducci Respondent Lawyers(s): Heidi E. VonderHeide Arbitrator(s): Leon Fox Hearing Site: Chicago, IL
| | $213 |