| 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 |
| 19-00896 | 11/23/2021 | Claimant(s): Steven F. Weinstock Trust DTD 10/26/09
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J Borrelli
Arbitrator(s): Philip J. Glick, Michael S. Jordan, Maya Steinitz
Hearing Site: Chicago, IL
| | $450,000 |
| 21-00340 | 10/26/2021 | Claimant(s): Michael Richardson
Claimant Lawyers(s): Michael A. Richardson
Respondent(s): GTS Securities LLC
Respondent Lawyers(s): Daniel Labovitz
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
| | $0 |
| 19-02344 | 10/20/2021 | Claimant(s): Mark Berens
Claimant Lawyers(s): Brian E. Martin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Esther Cho
Arbitrator(s): Theresa A Gillerlain, Thomas Michael Genovese, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | $0 |
| 21-01305 | 10/15/2021 | Claimant(s): Joseph Reynolds
Claimant Lawyers(s): Joseph Reynolds
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | $300 |
| 21-00941 | 10/13/2021 | Claimant(s): Alex Rucks
Claimant Lawyers(s): Nathan C. Volheim
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Sal Presti
Hearing Site: Chicago, IL
| | $175 |
| 20-04151 | 10/06/2021 | Claimant(s): Paul Gorsuch
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Kathleen M. Klein
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
| | $65,000 |
