| 18-03528 | 08/21/2020 | Claimant(s): James Harting Trust
Claimant Lawyers(s): James R. Harting
Respondent(s): Timothy Rice, First Allied Securities., Lakeside Wealth Management Group
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Charles Orlove, Leonard Arthur Nelson, Theresa A Gillerlain
Hearing Site: Chicago, IL
|  | $0 |
| 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 |
| 16-00575 | 04/26/2017 | Claimant(s): Brian Holmes, Michelle Holmes
Claimant Lawyers(s): Joel Levin
Respondent(s): Ralph Derose, Wunderlich Securities.
Respondent Lawyers(s): Mark Griffin
Arbitrator(s): Charles Orlove, James Dale Ellis, Ronald Edward Alexander
Hearing Site: Cleveland, OH
| | $1,044,780 |
| 15-03092 | 12/09/2016 | Claimant(s): Revocable Trust of Ralph Day
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael L. Lyons, James P. O'Grady, Charles Orlove
Hearing Site: St. Louis, MO
| | Expungement |
| 15-03355 | 09/13/2016 | Claimant(s): Wilbert Hamstra
Claimant Lawyers(s): Tina M. Bird
Respondent(s): National Securities Corporation, Nikolai Acevedo
Respondent Lawyers(s): Charles M. O'Rourke, Jay M. Israel
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 14-01298 | 11/05/2015 | Claimant(s): Fredrik Gabriel
Claimant Lawyers(s): Edward R. Moor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Michael S. Matek, Lee H. Goodman, Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 14-03177 | 06/11/2015 | Claimant(s): Charles Taliaferro
Claimant Lawyers(s): Charles A. Taliaferro
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin Fair
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 14-00251 | 08/14/2014 | Claimant(s): Todd Leigh and Lisa Leigh
Claimant Lawyers(s): Todd Leigh
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Charles Orlove
Hearing Site: Indianapolis, IN
| | $0 |
| 12-00806 | 10/11/2012 | Claimant(s): Ronald Reid
Claimant Lawyers(s): Ronald M. Reid
Respondent(s): Joseph Gilbert, Morgan Stanley
Respondent Lawyers(s): Sheetal Parikh
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 09-05873 | 05/04/2010 | Claimant(s): Michael Dach
Claimant Lawyers(s): Michael A. Dach
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Jennifer F. Hinderliter
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
