| 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 |
| 21-01618 | 02/27/2023 | Claimant(s): Kenton Rose, Marie Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Charles Kiker, Commonwealth Financial Network
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Theodore W. Wrobleski, Robert S. Grabemann, Helen B Bloch
Hearing Site: Chicago, IL
| | $0 |
| 22-01135 | 02/23/2023 | Claimant(s): Susan Bergin
Claimant Lawyers(s): Susan Bergin
Respondent(s): Daniel Sypien, Edward Jones, Sherry Wilson
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
| | $0 |
| 22-00606 | 12/30/2022 | Claimant(s): Michael Bledsoe
Claimant Lawyers(s): Michael Bledsoe
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Leon Fox, Scott Stauffer, Shimon Benyamin Kahan
Hearing Site: Chicago, IL
| | $0 |
| 19-00016 | 10/05/2022 | Claimant(s): Arthur Olson
Claimant Lawyers(s): James J. Moylan
Respondent(s): Morgan Stanley & Co., Kenneth Camarella, Paula Epstein
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Ray J. Grzebielski, Sal Presti, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
