19-00016 | 10/05/2022 | Claimant(s): Arthur Olson Claimant Lawyers(s): James J. Moylan Respondent(s): Morgan Stanley & Co., Kenneth Camarella, Paula Epstein Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Ray J. Grzebielski, Sal Presti, Michael R. Sherwin Hearing Site: Chicago, IL
| | $0 |
17-03296 | 03/10/2020 | Claimant(s): Jennifer Pavlik, Jon Pavlik, Jennifer Pavlik Roth IRA, Jon Pavlik Roth IRA, Edward J. Pavlik Rev Trust DTD 3/9/82 Claimant Lawyers(s): Edward Pavlik Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Justin M. Garbaccio Arbitrator(s): Steven H. Vogel, Michael R. Sherwin, Thomas P. Valenti Hearing Site: Chicago, IL
| | Dismissed by Rule 12212(c) |
17-01254 | 08/05/2019 | Claimant(s): Bin Liu, Bing Dao, Daquan Li, Fawn Lin-Moy, Folim Halaka, Hailin Yan, Hana Shenouda, Hang Yuan, Jan Cheng, Jia Liu, Jie Chen, John Pollick, Jun Zhou, Ke Zhang, Ling Li, Liping Zhong, Min Zhang, Minqi Wan, Mu Liu, Philip Zou, et al Claimant Lawyers(s): Andrew Stoltmann Respondent(s): Sara Ng Respondent Lawyers(s): Nancy L. Hendrickson Arbitrator(s): Philip J. Glick, Elizabeth C. Simon, Michael R. Sherwin Hearing Site: Chicago, IL
| | Expungement |
17-02034 | 05/22/2018 | Claimant(s): Greg Morelli Claimant Lawyers(s): John M. Sheldon Respondent(s): Morgan Stanley & Co., Philipp Weisskopf Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Charles Orlove, Jacqueline Stanley Lustig, Michael R. Sherwin Hearing Site: Chicago, IL
| | $0 |
16-01476 | 06/15/2017 | Claimant(s): James Holstein Rev. Trust dated 10/24/14, Lisa Holstein Rev. Trust dated 10/24/14 Claimant Lawyers(s): John C. Barlow Respondent(s): Chicago Partners Investment Group LLC Respondent Lawyers(s): Brian A. Carlis Arbitrator(s): Kenneth N. Adamson, Jerome Arthur Connolly, Michael R. Sherwin Hearing Site: Chicago, IL
| | $0 |
11-02945 | 07/26/2012 | Claimant(s): Fred Prudhomme Claimant Lawyers(s): James A. McGurk Respondent(s): Arnold Janickas, E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Ray J. Grzebielski, Caroline N. Harney, Michael R. Sherwin Hearing Site: Chicago, IL
| | $140,300 |
10-05035 | 04/27/2012 | Claimant(s): Robert Gaynor, Custodial Or Education Savings Acct, Robert S. Gaynor IRA, Robert S. Gaynor Special Account Claimant Lawyers(s): D. Daxton White Respondent(s): Morgan Stanley Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): William M. Koziol, Philip J. Glick, Michael R. Sherwin Hearing Site: Chicago, IL
| | Expungement |
09-06207 | 05/04/2011 | Claimant(s): Mary E. Wright Trust Claimant Lawyers(s): Paul J. Sussman Respondent(s): Credit Suisse First Boston LLC Respondent Lawyers(s): Matthew N. Thibaut Arbitrator(s): William M. Koziol, Michael R. Sherwin, Loren H. Newman Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |