| 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 |
| 17-02728 | 04/29/2020 | Claimant(s): Audrey Niehoff
Claimant Lawyers(s): Laurence Landsman
Respondent(s): Jeffrey Berenson, Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr
Arbitrator(s): Jerome F. Crotty, Raymond P. Buschmann, Marcia Bonita Gevers
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
| 19-00028 | 04/28/2020 | Claimant(s): Susan Grcevich
Claimant Lawyers(s): Carter S. Plotkin
Respondent(s): Wells Fargo Clearing Services, Philip Farese
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): William M. Getzoff, Daniel R. Formeller, Lee H. Goodman
Hearing Site: Chicago, IL
| | Expungement |
| 19-01781 | 03/20/2020 | Claimant(s): Elio Chiappetta IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $75,225 |
| 19-01212 | 03/13/2020 | Claimant(s): American Homeowner Preservation
Claimant Lawyers(s): David Miller
Respondent(s): Mountainview Securities.
Respondent Lawyers(s): Michele R. Blythe
Arbitrator(s): William M. Getzoff, Arne R. Rode, Stephen Jeremiah O'Neil
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
