| 24-00940 | 08/27/2024 | Claimant(s): Tashay Myrick
Claimant Lawyers(s): Tashay Myrick
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
|  | $0 |
| 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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| 23-00791 | 08/19/2024 | Claimant(s): Eleanore Plewacki, Mark Plewacki
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Stuart D. Summers, Raymond P. Buschmann, Timothy Chron
Hearing Site: Chicago, IL
| | Expungement |
| 23-02889 | 07/29/2024 | Claimant(s): Jeannette Adcock
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
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| 23-02341 | 07/11/2024 | Claimant(s): Steven Mogul
Claimant Lawyers(s): Craig Riha
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mark L Miller
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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| 23-02852 | 06/14/2024 | Claimant(s): Kevin Kingston
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Mutual Service Corporation, Valmark Securities.
Respondent Lawyers(s): David Freniere, Neil D. Petkovic
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
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| 23-01978 | 06/10/2024 | Claimant(s): Marc Jacobson
Claimant Lawyers(s): Owen Harnett
Respondent(s): Pruco Securities., Equitable Advisors
Respondent Lawyers(s): Jennifer E. Novoselsky, Michael J. Biondi
Arbitrator(s): Leon Fox, Raymond P. Buschmann, James Hofheimer
Hearing Site: Chicago, IL
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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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| 24-00244 | 06/03/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jason D. Evans
Respondent(s): Ryan Stoner
Respondent Lawyers(s): Ryan Scott Stoner
Arbitrator(s): Marcia Bonita Gevers
Hearing Site: Chicago, IL
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