| 21-01861 | 04/27/2022 | Claimant(s): Mason Hallett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 21-01966 | 04/12/2022 | Claimant(s): Tawauna Garel
Claimant Lawyers(s): Tawauna Garel
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
|  | $0 |
| 21-02478 | 04/08/2022 | Claimant(s): Ranjit Bahadur
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 20-00954 | 03/31/2022 | Claimant(s): Janet M. Wittmer, Ronald E. Wittmer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Daniel Murray, Douglas Guarino, Jeff Snyder, Rockwell Global Capital LLC
Respondent Lawyers(s): Daniel Robert Murray, Douglas Joseph Guarino, Jeff David Snyder, Robert M. Bursky
Arbitrator(s): Steven H. Vogel, Jacqueline Stanley Lustig, Stuart W. Smith
Hearing Site: Chicago, IL
| | $0 |
| 20-03364 | 03/21/2022 | Claimant(s): Vanessa Jones
Claimant Lawyers(s): Vanessa Jones
Respondent(s): J.P. Morgan Securities, Maurice Lounds, Paul Fiacable
Respondent Lawyers(s): Daniel Rucker, Shipra K. Rege
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $0 |
| 21-01283 | 03/17/2022 | Claimant(s): Anthony Riscili
Claimant Lawyers(s): James P. Galvin
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Susanne J. Hollander, Michael R. Sherwin, Alfonso Cobb
Hearing Site: Chicago, IL
| | |
| 21-01466 | 03/09/2022 | Claimant(s): David Hohmann
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
| | |
| 18-04198 | 03/03/2022 | Claimant(s): Jefferies
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Patrick Cunningham
Respondent Lawyers(s): Patrick F. Moran
Arbitrator(s): Jonathan B. Gilbert, Jonah J. Orlofsky, John William Kenesey
Hearing Site: Chicago, IL
| | |
| 20-00652 | 02/28/2022 | Claimant(s): James W. Miller, Jr.
Claimant Lawyers(s): Stephen O'Donnell
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC, Nicholas King, Paolo Rocca, Strategic Advisers.
Respondent Lawyers(s): Dochtor Kennedy, Kathryn B. Rockwood
Arbitrator(s): Theodore W. Wrobleski, Philip C. Stahl, James William Hoag
Hearing Site: Chicago, IL
| | Expungement |
| 21-01158 | 02/28/2022 | Claimant(s): Xuehong Sun
Claimant Lawyers(s): Xuehong Sun
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
