| 22-01935 | 09/10/2024 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Mark Mappa, Kestra Investment Services
Respondent Lawyers(s): Andrew S. May, Lydia R. Zaidman
Arbitrator(s): Michael S. Matek, Larry Evert Carlson, Richard Michael Stanton
Hearing Site: Chicago, IL
|  | $0 |
| 23-03066 | 02/22/2024 | Claimant(s): Hiive Markets Limited
Claimant Lawyers(s): Marc M. Yenicag
Respondent(s): Ethelbert Williams
Respondent Lawyers(s): Ethelbert Williams
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 23-01269 | 09/22/2023 | Claimant(s): Calena Terry
Claimant Lawyers(s): Calena Terry
Respondent(s): Truist Investment Services., Paula Allen
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 12-02144 | 08/11/2023 | Claimant(s): John Dietz, Luis Pernia, Estate of William V. Johnson, Bocagrande Trust, Pienza Trust, dissolved Pernia Family Trust
Claimant Lawyers(s): Victor J. Pioli
Respondent(s): Loria Financial Group, MPS-Loria Financial Planners, RIM Securities LLC, Rochdale Investment Management, Rochdale Offshore Management
Respondent Lawyers(s): Jose A. Lopez, Nicholas P. Iavarone, Ronald P. Kane
Arbitrator(s): Michael S. Matek, Susan L. Walker, Yana Karnaukhov
Hearing Site: Chicago, IL
| | $0 |
| 22-00807 | 03/27/2023 | Claimant(s): Edward McCoy, Shirley McCoy
Claimant Lawyers(s): Edward A. McCoy
Respondent(s): Charles Schwab & Co.., TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Michael S. Matek, Mark S. Foster, Susan Baker Teson
Hearing Site: Kansas City, MO
| | $300 |
| 21-01966 | 04/12/2022 | Claimant(s): Tawauna Garel
Claimant Lawyers(s): Tawauna Garel
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 19-03449 | 06/25/2020 | Claimant(s): Richard R. Bauer Rev. Trust dtd 7/21/11
Claimant Lawyers(s): Debra Weiss
Respondent(s): Cole Gendreau, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Michael S. Matek
Hearing Site: Minneapolis, MN
| | $0 |
| 19-03003 | 03/12/2020 | Claimant(s): tastyworks.
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Syed Ali
Respondent Lawyers(s): Syed Ali
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | Dismissed |
| 19-01027 | 11/01/2019 | Claimant(s): Matthew Lemke
Claimant Lawyers(s): John A. Dienner
Respondent(s): Karen Cwichon
Respondent Lawyers(s): Karen M. Cwichon
Arbitrator(s): Michael S. Matek, Theodore W. Wrobleski, Leon Fox
Hearing Site: Chicago, IL
| | Expungement |
| 17-02855 | 05/30/2019 | Claimant(s): Donald L. and Beverly C. Hamill
Claimant Lawyers(s): Donald Hamill
Respondent(s): David Harris, Doris Burr, Gregory Shea, Harry Peters, Joseph Hooper, Justin Burr, Kevin Cline, Robert Burr, Russell Newton, Stephen Larkin, Blue Ridge Group., Source Capital Group.
Respondent Lawyers(s): Company President, David Webster Harris, David Harris, Doris R. Burr, Harry Peters, Michael A. Valenti, Russell William Newton, Stephen Carl Larkin, Travis Creed
Arbitrator(s): Michael S. Matek, Mark S. Foster, Michael D. Fitzgerald
Hearing Site: Omaha, NE
| | $0 |
