| 20-03424 | 02/01/2022 | Claimant(s): Kay Akins, Leon Akins
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Robert S. Sugarman, Elena P. Anastasiou, Lisa Sandlow Imber
Hearing Site: Chicago, IL
|  | Expungement |
| 17-00030 | 03/06/2019 | Claimant(s): Monica Guttmann
Claimant Lawyers(s): Nathan H. Lichtenstein
Respondent(s): Patricia Mulcahy
Respondent Lawyers(s): Douglas Hyman
Arbitrator(s): Robert S. Sugarman, Michael S. Gregory, Edward Louis Koven
Hearing Site: Chicago, IL
| | |
| 18-01090 | 02/07/2019 | Claimant(s): Timothy Cornell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | |
| 17-02453 | 05/31/2018 | Claimant(s): Louis Paster, Paul Tashima
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | |
| 16-02822 | 03/23/2018 | Claimant(s): Bernard Black, Samuel Black, Supplemental Needs Trust for Joanne Blac, The Irrevocable Trust of Renata Black
Claimant Lawyers(s): Michael H. Schaalman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kenneth Berg
Arbitrator(s): Robert S. Sugarman, Pamela A. Kentra, Elizabeth C. Simon
Hearing Site: Chicago, IL
| | $0 |
| 16-01564 | 06/26/2017 | Claimant(s): Daniel Oleary, Jennifer Oleary, Patrick Oleary, Sandra Oleary
Claimant Lawyers(s): Daniel Gwertzman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Renan I. Sugarman
Arbitrator(s): Mark L Miller, Robert S. Sugarman, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
| 15-01299 | 12/30/2015 | Claimant(s): Robert Simon, Robert Simon IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Michael Jordan
Respondent Lawyers(s): Michael Jordan
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | $37,650 |
| 13-01058 | 04/29/2015 | Claimant(s): First Midstate Incorporated
Claimant Lawyers(s): David A. Genelly
Respondent(s): Stifel, Nicolaus & Co.., Kevin Heid
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Robert S. Sugarman, Susan L. Walker, Harvey R. Herman
Hearing Site: Chicago, IL
| | |
| 13-02007 | 11/26/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Matthew Westley
Respondent Lawyers(s): Desmond P. Curran
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | |
| 12-03694 | 06/20/2014 | Claimant(s): Clara Lenz, Friedel Lenz
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kraig Mickelsen, Ausdal Financial Partners.
Respondent Lawyers(s): Gara Seagraves, Wendy S. Menghini
Arbitrator(s): Robert S. Sugarman, Philip J. Glick, Margaret Ann Angelucci
Hearing Site: Chicago, IL
| | Expungement |
