| 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 |
| 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 |
