| 22-02649 | 05/24/2024 | Claimant(s): Howard Sproat
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): William Blair & Company L.L.C.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Michael Lau, Paul J. Burkhart, Scott Manker
Hearing Site: Boca Raton, FL
|  | Expungement |
| 22-01455 | 04/30/2024 | Claimant(s): Raymond Paller
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Mark L Miller, Susan M. Coleman, Lisa M. Krimen
Hearing Site: Chicago, IL
| | $0 |
| 21-02186 | 12/12/2022 | Claimant(s): Ronald Gagnon
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Rosalia
Respondent Lawyers(s): Bruce Lewitas, Jamie John Worden, Michael Richard Rosalia
Arbitrator(s): LaVon C. Phillips, Grant D. Sanders, Frank Edward Hermann
Hearing Site: Minneapolis, MN
| | $130,000 |
| 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 |
| 17-02559 | 12/24/2019 | Claimant(s): Robert Liggett, Victoria Liggett, Liggett Investments LLC, Liggett Ventures LLC, Robert G. Liggett, Jr., Custodian, Victoria L. Liggett, Trustee
Claimant Lawyers(s): Dennis J. Levasseur
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Timothy J. Currier, Barry Goldman, Betty R. Widgeon
Hearing Site: Detroit, MI
| | Settlement |
| 11-02019 | 07/26/2016 | Claimant(s): John Kelly, Ruth Kelly
Claimant Lawyers(s): James Borcia
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Leon Fox, Marilee Roberg, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $0 |
| 14-02954 | 06/24/2016 | Claimant(s): Nancy Plum, John W. Plum Trust
Claimant Lawyers(s): John W. Plum
Respondent(s): Dean Trindle, Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce Lewitas, Jennifer R. Willey
Arbitrator(s): Jack A. Helms, Mitchel Weiss, Robert L. Cowles
Hearing Site: Jacksonville, FL
| | Expungement |
| 08-00978 | 11/19/2010 | Claimant(s): Gregory Doane
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Robert L. Spangler, Anna M. Fanelli, Ellyn S. Roth
Hearing Site: New York, NY
| | $0 |
