| 20-01721 | 09/22/2022 | Claimant(s): John Ewine
Claimant Lawyers(s): David W. Porteous
Respondent(s): John Orlando, Richard Rappaport, Newport Coast Securities., Westpark Capital.
Respondent Lawyers(s): Kevin Lee, Nancy L. Hendrickson, Todd A. Zuckerbrod
Arbitrator(s): Martin D. Munic, Thomas J. Gmeinder, Steven M. Bialick
Hearing Site: Minneapolis, MN
|  | Expungement |
| 19-03605 | 04/21/2022 | Claimant(s): Joseph Cardenas, Machelle Cardenas, Yuma Cardiology Associates
Claimant Lawyers(s): Bradd L Milove
Respondent(s): Ryan Barradas, Kestra Investment Services, M Holdings Securities., WealthPoint, Barradas Family Trust, Kestra Advisory Services, Kestra Financial.
Respondent Lawyers(s): Edwin A. Barkel, Nancy L. Hendrickson
Arbitrator(s): Howard R. Gaines, Maureen Beyers, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $0 |
| 20-03805 | 02/02/2022 | Claimant(s): Maxine Kovalkoski, Paul Kovalkoski
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): LPL Financial LLC, Ronald Paull
Respondent Lawyers(s): Kelsey Vasko, Nancy L. Hendrickson
Arbitrator(s): Peter L. Michaelson
Hearing Site: Jersey City, NJ
| | Expungement |
| 20-02094 | 12/16/2021 | Claimant(s): William Barrett, William G. Barrett Roth IRA
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Ausdal Financial Partners., Sentinus-Halo Securities
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Tracy L. Allen, Sally J. Wiggins, Charles Kahn
Hearing Site: Milwaukee, WI
| | Expungement |
| 19-01888 | 05/18/2021 | Claimant(s): Amy Toliver, Cynthia Toliver, Janet Narduzzi
Claimant Lawyers(s): Stephen C. Mouritsen
Respondent(s): John Arnold, AXA Advisors
Respondent Lawyers(s): Daniela Paez, Nancy L. Hendrickson
Arbitrator(s): Jay H. Feldstein, David S. Eisenberg, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | Expungement |
| 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 |
| 17-01254 | 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 |
| 13-01645 | 02/04/2016 | Claimant(s): Antonio Cali, Kathryn Cali
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Wells Fargo Advisors, Robert Batchen
Respondent Lawyers(s): Nancy L. Hendrickson, Nuviah Shirazi
Arbitrator(s): John D. Crawford, Frank A. Dusek, Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 10-00558 | 01/13/2011 | Claimant(s): Antoinette Guenther, Antoinette S. Guenther Revocable Trust
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Richard Schilffarth, RBC Capital Markets LLC, B. C. Ziegler and Company
Respondent Lawyers(s): Carolyn Guy, Jonathan W. Hackbarth, Nancy L. Hendrickson
Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $0 |
