| 20-00383 | 11/22/2022 | Claimant(s): Carol Sorensen, Richard Paine, Stephen Sorensen
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Jonathan B. Gilbert, Andrew Barton, Brian Luther
Hearing Site: Denver, CO
|  | Expungement |
| 21-02475 | 10/19/2022 | Claimant(s): Devon Grandbois
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Edward Jones
Respondent Lawyers(s): Michael J. Steinlage
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-00548 | 06/22/2022 | Claimant(s): Estate of Inayat S. Fleischaker
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Jonathan B. Gilbert, Odalo Joseph Ohiku, Denise Renee Poindexter
Hearing Site: Chicago, IL
| | Expungement |
| 19-02240 | 05/12/2022 | Claimant(s): Marlin Miller
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Brent Porges, Craig Taddonio, Peter Faggioni, Craig Scott Capital
Respondent Lawyers(s): Brent Morgan Porges, Brent Porges, Craig Scott Taddonio, Peter Faggioni
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | $0 |
| 21-00563 | 01/10/2022 | Claimant(s): Robert Caswell
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Bruce Boyle, Lawrence Zelin, Thomas Diamante
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Des Moines, IA
| | Expungement |
| 21-00021 | 01/06/2022 | Claimant(s): Dierdre Hallick, Mark Hallick
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities.
Respondent Lawyers(s): Justin Sacca, Sean T. Needham
Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 21-02302 | 12/02/2021 | Claimant(s): Robert Caswell
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Lawrence Fawcett
Respondent Lawyers(s): Lawrence John Fawcett
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Des Moines, IA
| | $0 |
| 21-01282 | 11/15/2021 | Claimant(s): Kathleen Marfiz
Claimant Lawyers(s): Kathleen M. Marfiz
Respondent(s): Isaac Wales
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Minneapolis, MN
| | $300 |
| 20-03577 | 06/22/2021 | Claimant(s): Robert Caswell
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Lawrence Fawcett
Respondent Lawyers(s): Lawrence John Fawcett
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Des Moines, IA
| | $0 |
| 20-03743 | 04/05/2021 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): H. Beck.
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Jeffry M. Bauer, Mark L Miller, Jonathan B. Gilbert
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206 |
