| 23-01602 | 08/26/2024 | Claimant(s): Allan Haupert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Mark W Solock
Hearing Site: Milwaukee, WI
| | |
| 22-02150 | 03/22/2024 | Claimant(s): Alfredo Serrano, Daniel Raupp, Gary Phelps, Henry Enno, Manfred Hegwer, Scott Weissman, Thomas Bruce
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Meaghan VerGow
Arbitrator(s): Caroline N. Harney, Allen Greenberg, Mark W Solock
Hearing Site: Chicago, IL
| | |
| 21-02264 | 03/23/2023 | Claimant(s): Estate of Ellard (through PR)
Claimant Lawyers(s): Anthony F. Fata
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Dianne Marie Onichimowski, Mark W Solock, Matthew James Mc Carter
Hearing Site: Chicago, IL
|  | $782,273 |
| 22-01401 | 12/23/2022 | Claimant(s): Richard Hauser
Claimant Lawyers(s): Richard M. Hauser
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Mark W Solock
Hearing Site: Milwaukee, WI
| | $0 |
| 21-02932 | 09/15/2022 | Claimant(s): Rocky Wuyan, Ting Ma, Rocky Wuyan IRA, Ting Ma IRA, Wuyan Family Irrevocable Trust 11/6/12
Claimant Lawyers(s): Eric S. Pruitt
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Kathy A. Tatone, John William Kenesey, Mark W Solock
Hearing Site: Chicago, IL
| | $186,963 |
| 20-03827 | 11/18/2021 | Claimant(s): Craig Pearlman
Claimant Lawyers(s): Jacob L. Kahn
Respondent(s): Aon Securities
Respondent Lawyers(s): David M. Katz
Arbitrator(s): Mark W Solock
Hearing Site: Chicago, IL
| | |
| 20-03149 | 06/29/2021 | Claimant(s): Yulun Wu
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Mark W Solock
Hearing Site: Chicago, IL
| | |
| 17-02795 | 02/14/2019 | Claimant(s): Carol Brink
Claimant Lawyers(s): Lydia M. Floyd
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Sal Presti, Debra Granat Grudichak, Mark W Solock
Hearing Site: Chicago, IL
| | Expungement |
| 17-02556 | 10/03/2018 | Claimant(s): Susan Radzinowicz
Claimant Lawyers(s): John F. Newell
Respondent(s): Morgan Stanley, Stephen Crane
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Elizabeth C. Simon, Mark W Solock, Michael John Gallagher
Hearing Site: Chicago, IL
| | $0 |
| 17-02836 | 08/15/2018 | Claimant(s): John Riley, Jyoti Riley, Blenheim Companies LLC, Jyoti Riley IRA Account, John and Jyoti Riley Joint Account, J&J Family L.P.
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): Daryl M. Schumacher
Arbitrator(s): Raymond P. Buschmann, Alan Barinholtz, Mark W Solock
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
