| 19-01154 | 09/18/2019 | Claimant(s): Sandra Cott
Claimant Lawyers(s): Sandra K. Cott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
|  | $0 |
| 17-01666 | 10/10/2018 | Claimant(s): J. Thomas Netzer
Claimant Lawyers(s): Joseph D. Sheppard
Respondent(s): Moloney Securities Asset Management, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Leonard Arthur Nelson, Lawrence R. Rute, Bryan E. Mouber
Hearing Site: Kansas City, MO
| | $300,000 |
| 17-00842 | 08/22/2018 | Claimant(s): Tafney Snowden, I.R.A., Tafney Snowden and William E. Coen
Claimant Lawyers(s): William E. Coen
Respondent(s): Bernard Breton, Brett Harrison, David Martin, Gerald Harvey, Paul Ewing, Cetera Advisors LLC
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Mark S. Foster, Leonard Arthur Nelson, Lynn Hirschfeld Brahin
Hearing Site: Kansas City, MO
| | Expungement |
| 17-02075 | 01/24/2018 | Claimant(s): Alan Hunt
Claimant Lawyers(s): Alan Carl Hunt
Respondent(s): Katherine White, U.S. Bancorp Investments.
Respondent Lawyers(s): Bruce Gisi, Katherine A. White
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $0 |
| 17-01427 | 01/23/2018 | Claimant(s): Preston Brown
Claimant Lawyers(s): Preston L. Brown
Respondent(s): Lamont Chandler
Respondent Lawyers(s): R. Bradley Ziegler
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Kansas City, MO
| | $0 |
| 16-02235 | 10/16/2017 | Claimant(s): Helen Luca, Robert McCluskey
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Christine Mallul, David A. Noyes & Company
Respondent Lawyers(s): Christine Catherine Mallul, Robert L. Cram
Arbitrator(s): Michael S. Matek, Leonard Arthur Nelson, Bradley Howard Wulfsohn
Hearing Site: Chicago, IL
| | $0 |
| 16-02966 | 05/05/2017 | Claimant(s): The Estate of Helen Nottingham
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Fifth Third Securities., Kevin Benjamin
Respondent Lawyers(s): Christen M. Steimle
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $0 |
| 15-01457 | 04/20/2017 | Claimant(s): Richard Eslich
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Jeffrey M. Bain, Leonard Arthur Nelson, Robert M Lustig
Hearing Site: Cleveland, OH
| | Stipulated Award |
| 14-01127 | 02/24/2015 | Claimant(s): Michael Strathman
Claimant Lawyers(s): Adam M. Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $0 |
| 13-00893 | 12/20/2013 | Claimant(s): John Lehman
Claimant Lawyers(s): John E. Lehman
Respondent(s): Jack Pankau, Patrick Read, ITG Derivatives LLC
Respondent Lawyers(s): Patrick Chi
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Milwaukee, WI
| | $0 |
