| 24-01263 | 09/05/2024 | Claimant(s): Paulson Investment Company
Claimant Lawyers(s): Dexter B. Johnson
Respondent(s): Vincent Sharpe
Respondent Lawyers(s): Vincent Anthony Sharpe
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 23-01530 | 08/23/2024 | Claimant(s): Christopher Hildreth
Claimant Lawyers(s): Daniel B. Grossman
Respondent(s): Truist Securities.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Susanne J. Hollander, Susan L. Walker, Jeffrey L. Durkes
Hearing Site: Chicago, IL
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| 24-00675 | 06/21/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jason D. Evans
Respondent(s): Helen Grace Caldwell
Respondent Lawyers(s): Helen Grace Caldwell
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 23-02366 | 06/18/2024 | Claimant(s): Jason Zoch
Claimant Lawyers(s): Angela A. Turiano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Tracy L. Allen, Susan L. Walker, Kevin P. Feerick
Hearing Site: Indianapolis, IN
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| 20-02474 | 06/07/2024 | Claimant(s): James Rudwall
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael F. Braun
Arbitrator(s): Gregory G. Gocek, Susan L. Walker
Hearing Site: Chicago, IL
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| 24-00252 | 04/24/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): James Czerniak
Respondent Lawyers(s): James Allen Czerniak
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 23-01258 | 10/30/2023 | Claimant(s): Lois Graves, W. Graves
Claimant Lawyers(s): W. Joseph Graves
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Susan L. Walker
Hearing Site: Indianapolis, IN
|  | $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 |
| 22-01537 | 06/07/2023 | Claimant(s): David Pitlor
Claimant Lawyers(s): David Pitlor
Respondent(s): Garrett Wynne, Charles Schwab & Co.., TD Ameritrade., Stacy Fries
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Rochelle E. Dillard, Susan L. Walker, Matthew Rothchild
Hearing Site: Omaha, NE
| | Dismissed by Rule 12504 |
| 22-02260 | 12/22/2022 | Claimant(s): William Shreve
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
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