| 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 |
| 19-02198 | 10/08/2020 | Claimant(s): Scott Roeth
Claimant Lawyers(s): Mitchell B. Katten
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeff Goldman
Arbitrator(s): Kenneth N. Adamson, Marilee Roberg, Walter Patrick Giblin
Hearing Site: Chicago, IL
| | Settlement |
| 20-01082 | 10/02/2020 | Claimant(s): Gary Black
Claimant Lawyers(s): Gary Black
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 20-01496 | 10/02/2020 | Claimant(s): Ermirjona Kekempanos, Larry Kekempanos
Claimant Lawyers(s): Larry E. Kekempanos
Respondent(s): Randall Heller, KCD Financial.
Respondent Lawyers(s): David Scott Wilson
Arbitrator(s): David H. White
Hearing Site: Chicago, IL
| | $300 |
| 18-03528 | 08/21/2020 | Claimant(s): James Harting Trust
Claimant Lawyers(s): James R. Harting
Respondent(s): Timothy Rice, First Allied Securities., Lakeside Wealth Management Group
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Charles Orlove, Leonard Arthur Nelson, Theresa A Gillerlain
Hearing Site: Chicago, IL
| | $0 |
| 20-00991 | 07/29/2020 | Claimant(s): George Miz
Claimant Lawyers(s): George S. Miz
Respondent(s): Donald Wojnowski
Respondent Lawyers(s): Donald Anthony Wojnowski
Arbitrator(s): Michael Nathanson
Hearing Site: Chicago, IL
| | $5,425 |
| 18-00366 | 07/20/2020 | Claimant(s): Cendrowski Selecky Professional Corp
Claimant Lawyers(s): Jessica Lynn Dagley
Respondent(s): Brent Kalka, David Nissen, Avantax Investment Services.
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Lynn Hirschfeld Brahin, Susan L. Walker, Walter Patrick Giblin
Hearing Site: Chicago, IL
| | $0 |
