| 24-00018 | 05/30/2024 | Claimant(s): Michael Djus
Claimant Lawyers(s): Michael Djus
Respondent(s): John Hancock Distributors LLC
Respondent Lawyers(s): Steven E. Sexton
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Milwaukee, WI
|  | $34,931 |
| 23-02514 | 04/12/2024 | Claimant(s): Marcia Hardy
Claimant Lawyers(s): Marcia L. Hardy
Respondent(s): Abacus Investments.
Respondent Lawyers(s): Frederick E. Hohensee
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $0 |
| 23-01375 | 04/10/2024 | Claimant(s): Michael Gregory
Claimant Lawyers(s): Michael Gregory
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: St. Louis, MO
| | $0 |
| 20-04055 | 07/07/2023 | Claimant(s): Grant Montgomery
Claimant Lawyers(s): John Phillips
Respondent(s): Carter, Terry & Company.
Respondent Lawyers(s): Scott Holcomb Esq.
Arbitrator(s): Barry Goldman, Lynn Hirschfeld Brahin, Brenda Adams
Hearing Site: St. Louis, MO
| | $100,000 |
| 22-00523 | 01/06/2023 | Claimant(s): Robert Reed
Claimant Lawyers(s): Brian J. Davis
Respondent(s): Christopher Fusco, Lon Faccini, Arive Capital Markets
Respondent Lawyers(s): Anthony Varbero, Christopher Thomas Fusco
Arbitrator(s): Julius Z. Frager, Lynn Hirschfeld Brahin, Jane Cohen
Hearing Site: St. Louis, MO
| | Dismissed |
| 21-02081 | 10/04/2022 | Claimant(s): Jill Jester
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Dinosaur Financial Group, L.L.C
Respondent Lawyers(s): Paul Koepp
Arbitrator(s): Peter Ordower, Gary P. Price, Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
| | $429,143 |
| 20-03869 | 08/08/2022 | Claimant(s): Bonnie K. Johnston, Robert E. Johnston
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Lynn Hirschfeld Brahin, Gregory G. Gocek, Joan M. Esserman
Hearing Site: St. Louis, MO
| | Expungement |
| 20-03293 | 03/24/2022 | Claimant(s): Jeffrey Trosen, Susan Trosen
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): John J. Fitzpatrick, Jonathan H. Krotinger, Lynn Hirschfeld Brahin
Hearing Site: Bismarck, ND
| | $70,000 |
| 20-03364 | 03/21/2022 | Claimant(s): Vanessa Jones
Claimant Lawyers(s): Vanessa Jones
Respondent(s): J.P. Morgan Securities, Maurice Lounds, Paul Fiacable
Respondent Lawyers(s): Daniel Rucker, Shipra K. Rege
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $0 |
| 19-03556 | 05/17/2021 | Claimant(s): Donna Wagner
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Perry, Brokers International Financial Services
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Lynn Hirschfeld Brahin, Robert David Epstein, Natalie R Dickey
Hearing Site: Indianapolis, IN
| | $795,929 |
