| 21-00548 | 06/22/2022 | Claimant(s): Estate of Inayat S. Fleischaker
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Jonathan B. Gilbert, Odalo Joseph Ohiku, Denise Renee Poindexter
Hearing Site: Chicago, IL
|  | Expungement |
| 20-00464 | 06/08/2022 | Claimant(s): William and Diane Cary
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Peter G. Wilson
Arbitrator(s): Daniel R. Formeller, Leon Fox, John Pacocha
Hearing Site: Chicago, IL
| | $250,600 |
| 19-01179 | 05/26/2022 | Claimant(s): Marlyn Schipper
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Prudential Investment Mgmt Services LLC, Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge, Marilyn B. Rosen
Arbitrator(s): Michael Nathanson, Jacqueline Stanley Lustig, Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 21-01860 | 05/23/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Marcin Dusza
Respondent Lawyers(s): Marcin Dusza
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | $78,088 |
| 19-02240 | 05/12/2022 | Claimant(s): Marlin Miller
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Brent Porges, Craig Taddonio, Peter Faggioni, Craig Scott Capital
Respondent Lawyers(s): Brent Morgan Porges, Brent Porges, Craig Scott Taddonio, Peter Faggioni
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | $0 |
| 21-01966 | 04/12/2022 | Claimant(s): Tawauna Garel
Claimant Lawyers(s): Tawauna Garel
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 20-00954 | 03/31/2022 | Claimant(s): Janet M. Wittmer, Ronald E. Wittmer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Daniel Murray, Douglas Guarino, Jeff Snyder, Rockwell Global Capital LLC
Respondent Lawyers(s): Daniel Robert Murray, Douglas Joseph Guarino, Jeff David Snyder, Robert M. Bursky
Arbitrator(s): Steven H. Vogel, Jacqueline Stanley Lustig, Stuart W. Smith
Hearing Site: Chicago, IL
| | $0 |
| 20-03364 | 03/21/2022 | Claimant(s): Vanessa Jones
Claimant Lawyers(s): Vanessa Jones
Respondent(s): J.P. Morgan Securities, Maurice Lounds, Paul Fiacable
Respondent Lawyers(s): Daniel Rucker, Shipra K. Rege
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $0 |
| 20-00652 | 02/28/2022 | Claimant(s): James W. Miller, Jr.
Claimant Lawyers(s): Stephen O'Donnell
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC, Nicholas King, Paolo Rocca, Strategic Advisers.
Respondent Lawyers(s): Dochtor Kennedy, Kathryn B. Rockwood
Arbitrator(s): Theodore W. Wrobleski, Philip C. Stahl, James William Hoag
Hearing Site: Chicago, IL
| | Expungement |
| 21-01158 | 02/28/2022 | Claimant(s): Xuehong Sun
Claimant Lawyers(s): Xuehong Sun
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
