| 20-01200 | 02/11/2022 | Claimant(s): Frank Petrosino, James Salter
Claimant Lawyers(s): Lainie E. Cohen
Respondent(s): Paulson Investment Company, Joseph Hain, Timothy Touloukian
Respondent Lawyers(s): Richard Roth, Steven C. Berman, Todd A. Zuckerbrod
Arbitrator(s): Leon Fox, Dianne Marie Onichimowski, William James Shimanek
Hearing Site: Chicago, IL
|  | Expungement |
| 20-03299 | 02/03/2022 | Claimant(s): Abraham Seidman Irrevocable Trust
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Guergana Karaalanova, J.P. Morgan Securities, Kevin Hitz
Respondent Lawyers(s): Heidi E. VonderHeide, Kevin Timothy Hitz
Arbitrator(s): Ray J. Grzebielski, Flora Fell, Scott Miller
Hearing Site: Chicago, IL
| | Expungement |
| 20-03424 | 02/01/2022 | Claimant(s): Kay Akins, Leon Akins
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Robert S. Sugarman, Elena P. Anastasiou, Lisa Sandlow Imber
Hearing Site: Chicago, IL
| | Expungement |
| 20-03502 | 01/21/2022 | Claimant(s): Burns Francis Trustee U/D/T 4-24-2016, Charlyn Austin, Francis D.B. Tate II
Claimant Lawyers(s): Francis D.B. Tate
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Susanne J. Hollander, Allen Greenberg, Matthew D Arbit
Hearing Site: Chicago, IL
| | Dismissed by Rule 12212(c) |
| 20-01792 | 01/12/2022 | Claimant(s): Justin London
Claimant Lawyers(s): Justin London
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Peter Ordower, Anthony P. Pecora, Dennis C. Waldon
Hearing Site: Chicago, IL
| | $0 |
| 21-00021 | 01/06/2022 | Claimant(s): Dierdre Hallick, Mark Hallick
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities.
Respondent Lawyers(s): Justin Sacca, Sean T. Needham
Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 19-02993 | 12/16/2021 | Claimant(s): Mark Pflederer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Clifford Reid, Edward Rudiger, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Michael F. Jordan, Michele Braun, Pawan Bonner
Hearing Site: Chicago, IL
| | $0 |
| 20-03639 | 12/09/2021 | Claimant(s): Charles McCallum, Constance McCallum
Claimant Lawyers(s): Paul A. Albarran
Respondent(s): Bryan Tutton, Edward Jones
Respondent Lawyers(s): Roger P. Meyers
Arbitrator(s): Philip J. Glick, Hugh John Totten, Dennis C. Waldon
Hearing Site: Chicago, IL
| | Expungement |
| 20-00941 | 12/09/2021 | Claimant(s): Colman Kraff as Trustee, Julie Kraff as Trustee
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Stuart D. Summers, Susan M. Coleman, Odalo Joseph Ohiku
Hearing Site: Chicago, IL
| | $40,300 |
| 20-01556 | 12/03/2021 | Claimant(s): Alila Hollander
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
