| 24-01001 | 11/27/2024 | Claimant(s): David Bedford, Jeffrey Crum
Claimant Lawyers(s): Clay Wash
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Herb Schwartz, Thomas R. Watkins, David A. Schuler
Hearing Site: Chicago, IL
| | |
| 23-02477 | 11/18/2024 | Claimant(s): Ordower & Ordower P.C. Pension
Claimant Lawyers(s): Lawrence Ordower
Respondent(s): Carlo Licata, Craig Zvonar, Morgan Stanley, Mark Evans
Respondent Lawyers(s): Brandy Fernandez
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
|  | Expungement |
| 19-03564 | 11/12/2024 | Claimant(s): John Foley
Claimant Lawyers(s): John Amos Foley
Respondent(s): BTIG
Respondent Lawyers(s): Nancy E. Pritikin
Arbitrator(s): Peter Ordower, Thomas P. Valenti, David Chappell Whitcomb
Hearing Site: Chicago, IL
| | |
| 23-02999 | 11/01/2024 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
| | |
| 23-03644 | 10/31/2024 | Claimant(s): April Schuster, Jennifer Smykowski, Marina Heine, Michael Hall, Patricia Labrosciano, Peter Smykowski, Roy Heine, Robert E. Prost & Rita R. Prost Trust
Claimant Lawyers(s): Adam J. Gana, Jonathan Kurta
Respondent(s): Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Alden Sharp Adkins, John William Kenesey, Lisa M. Lilly
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 24-00449 | 10/28/2024 | Claimant(s): Anthony Vitale
Claimant Lawyers(s): Anthony Vitale
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Alan D. Romero
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | $270 |
| 22-02857 | 10/07/2024 | Claimant(s): David Wojcik, David R. Wojcik IRA
Claimant Lawyers(s): Chase Carlson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Josette Belvedere, Marcia Bonita Gevers, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | Expungement |
| 23-01188 | 09/23/2024 | Claimant(s): Winifred Botkin, Winifred Botkin Trust
Claimant Lawyers(s): Janis Jannusch
Respondent(s): Stephen Sperling, Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | Expungement |
| 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 |
| 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
| | |
