| 20-01035 | 08/20/2021 | Claimant(s): Elizabeth Bennett, Samuel Bennett
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Raymond P. Buschmann, Marcia Bonita Gevers, Alexis Anne Washa
Hearing Site: Chicago, IL
|  | $0 |
| 20-02805 | 08/02/2021 | Claimant(s): Jon F Sipe Christine Sipe JT TEN/WROS
Claimant Lawyers(s): David Vermont
Respondent(s): Dennis Riordan
Respondent Lawyers(s): Paul Goodman
Arbitrator(s): Marcia Bonita Gevers
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 20-03915 | 08/02/2021 | Claimant(s): Bernadette Donisch, William Donisch
Claimant Lawyers(s): William Donisch
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda H. Wright
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 21-00040 | 07/01/2021 | Claimant(s): Howard Sharfman
Claimant Lawyers(s): Richard M. Goldwasser
Respondent(s): Estate of Thomas E. O'Rourke (deceased)
Respondent Lawyers(s): Michael J. O'Rourke
Arbitrator(s): Theodore W. Wrobleski, Marcia Bonita Gevers, Dennis Christensen
Hearing Site: Chicago, IL
| | Expungement |
| 20-04134 | 05/21/2021 | Claimant(s): Urban Financial Advisory Corporation
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Mesirow Financial.
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | $300 |
| 20-03832 | 03/08/2021 | Claimant(s): Jeffrey Sadur
Claimant Lawyers(s): Jeffrey R. Sadur
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
| 17-02211 | 11/25/2020 | Claimant(s): The Braeside Foundation
Claimant Lawyers(s): Jacob Kahn
Respondent(s): Carl Birkelbach, Nicholas Avello, Forest Securities.
Respondent Lawyers(s): Christopher Wurtzinger, James J. Moylan, Nicholas Thomas Avello
Arbitrator(s): Larry Evert Carlson, Thomas F. Ryan, Philip J. Glick
Hearing Site: Chicago, IL
| | $405,000 |
| 19-01830 | 11/21/2020 | Claimant(s): Yufang Duan
Claimant Lawyers(s): Michael J. Robins
Respondent(s): Yannan Wang, New City Capital LLC
Respondent Lawyers(s): Mark David Hunter
Arbitrator(s): Larry Evert Carlson, Jacqueline Stanley Lustig, Scott Stauffer
Hearing Site: Chicago, IL
| | Dismissed |
| 20-00246 | 11/11/2020 | Claimant(s): Nathan Edwards
Claimant Lawyers(s): Nathan Edwards
Respondent(s): Acorns Securities, Apex Clearing Corporation
Respondent Lawyers(s): Jack M McNeily, Jonathan D. Neerman
Arbitrator(s): Ray J. Grzebielski, Myra Christine Mormile-Wolper, Thomas P. Valenti
Hearing Site: Chicago, IL
| | Dismissed |
| 19-01305 | 10/21/2020 | Claimant(s): Margaret McDonnell, Michael McDonnell, Madeline R. Stierwalt
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): Ray J. Grzebielski, Jonathan B. Gilbert, Edward Louis Koven
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
