| 23-01188 | 09/23/2024 | Claimant(s): Winifred Botkin, Winifred Botkin Trust
Claimant Lawyers(s): Janis Jannusch
Respondent(s): Stephen Sperling, Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
|  | Expungement |
| 20-03829 | 07/21/2022 | Claimant(s): Rahul Deepankar
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Stuart D. Summers, Daniel R. Formeller, Philip J. Glick
Hearing Site: Chicago, IL
| | Expungement |
| 20-00464 | 06/08/2022 | Claimant(s): William and Diane Cary
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Peter G. Wilson
Arbitrator(s): Daniel R. Formeller, Leon Fox, John Pacocha
Hearing Site: Chicago, IL
| | $250,600 |
| 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 |
| 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 |
| 13-02179 | 12/21/2016 | Claimant(s): The Vega Asset Recovery Fund
Claimant Lawyers(s): Gregg Rzepczynski
Respondent(s): Newedge USA LLC
Respondent Lawyers(s): Stacie R. Hartman
Arbitrator(s): Daniel R. Formeller, Henry G. Nothnagel, Jeffrey W. Finke
Hearing Site: Chicago, IL
| | $0 |
| 15-00692 | 03/17/2016 | Claimant(s): Yaser Moustafa
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Romano Brothers And Company
Respondent Lawyers(s): William B. Berndt
Arbitrator(s): Thomas F. Mahoney, G. Gale Roberson, Daniel R. Formeller
Hearing Site: Chicago, IL
| | $155,000 |
| 15-00193 | 02/25/2016 | Claimant(s): Robert Wagner, Vicki Wagner
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Henry Kulig, FSC Securities Corporation
Respondent Lawyers(s): Craig H. Kuglar
Arbitrator(s): Daniel R. Formeller, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | $70,333 |
| 13-03651 | 06/30/2015 | Claimant(s): Joseph Kapshandy
Claimant Lawyers(s): Eamon P. Kelly
Respondent(s): Timothy Kelly
Respondent Lawyers(s): Bradley P. Colborn
Arbitrator(s): Daniel R. Formeller, Champ W. Davis, Pamela A. Kentra
Hearing Site: Chicago, IL
| | Expungement |
| 11-04375 | 12/03/2012 | Claimant(s): Wayne Jensen
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kraig Mickelsen, Ausdal Financial Partners.
Respondent Lawyers(s): Jeff Ziesman
Arbitrator(s): Daniel R. Formeller, Mary A. Duffy, David John Diersen
Hearing Site: Chicago, IL
| | Expungement |
