| 21-00548 | 06/22/2022 | Claimant(s): Estate of Inayat S. Fleischaker
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Jonathan B. Gilbert, Odalo Joseph Ohiku, Denise Renee Poindexter
Hearing Site: Chicago, IL
|  | Expungement |
| 22-00072 | 06/17/2022 | Claimant(s): Annette Findling
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 21-01754 | 06/15/2022 | Claimant(s): John Freiburger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 20-00464 | 06/08/2022 | Claimant(s): William and Diane Cary
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Peter G. Wilson
Arbitrator(s): Daniel R. Formeller, Leon Fox, John Pacocha
Hearing Site: Chicago, IL
| | $250,600 |
| 21-02211 | 06/02/2022 | Claimant(s): Timothy O'Connor
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley DW Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Suzette J. Barnes, W. Preston Martin
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
| | |
| 21-00301 | 05/31/2022 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Barry Krumwiede, Bryan Schneider, Christopher Bowman
Respondent Lawyers(s): James V. Garvey
Arbitrator(s): Leon Fox, Christopher Crimer, Michele Braun
Hearing Site: Chicago, IL
| | |
| 19-01179 | 05/26/2022 | Claimant(s): Marlyn Schipper
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Prudential Investment Mgmt Services LLC, Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge, Marilyn B. Rosen
Arbitrator(s): Michael Nathanson, Jacqueline Stanley Lustig, Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 21-01860 | 05/23/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Marcin Dusza
Respondent Lawyers(s): Marcin Dusza
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | $78,088 |
| 19-02240 | 05/12/2022 | Claimant(s): Marlin Miller
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Brent Porges, Craig Taddonio, Peter Faggioni, Craig Scott Capital
Respondent Lawyers(s): Brent Morgan Porges, Brent Porges, Craig Scott Taddonio, Peter Faggioni
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | $0 |
| 21-00471 | 05/11/2022 | Claimant(s): McHenry Savings Bank
Claimant Lawyers(s): Maria L. Kreiter
Respondent(s): Cambridge Investment Research., Vickie Benedetti, Cambridge Investment Research Advisors
Respondent Lawyers(s): Richard H. Kuhlman, Vickie Lynn Benedetti
Arbitrator(s): Daniel R. Formeller, Frances P. Kao, Cynthia Ross Polayes
Hearing Site: Chicago, IL
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