| 21-01178 | 12/20/2021 | Claimant(s): Jennifer Jasinski
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | |
| 19-02993 | 12/16/2021 | Claimant(s): Mark Pflederer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Clifford Reid, Edward Rudiger, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Michael F. Jordan, Michele Braun, Pawan Bonner
Hearing Site: Chicago, IL
|  | $0 |
| 20-03639 | 12/09/2021 | Claimant(s): Charles McCallum, Constance McCallum
Claimant Lawyers(s): Paul A. Albarran
Respondent(s): Bryan Tutton, Edward Jones
Respondent Lawyers(s): Roger P. Meyers
Arbitrator(s): Philip J. Glick, Hugh John Totten, Dennis C. Waldon
Hearing Site: Chicago, IL
| | Expungement |
| 20-00941 | 12/09/2021 | Claimant(s): Colman Kraff as Trustee, Julie Kraff as Trustee
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Stuart D. Summers, Susan M. Coleman, Odalo Joseph Ohiku
Hearing Site: Chicago, IL
| | $40,300 |
| 20-01556 | 12/03/2021 | Claimant(s): Alila Hollander
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 21-01149 | 12/01/2021 | Claimant(s): Breton Williams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Maya Steinitz
Hearing Site: Chicago, IL
| | |
| 19-00896 | 11/23/2021 | Claimant(s): Steven F. Weinstock Trust DTD 10/26/09
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J Borrelli
Arbitrator(s): Philip J. Glick, Michael S. Jordan, Maya Steinitz
Hearing Site: Chicago, IL
| | $450,000 |
| 20-01797 | 11/19/2021 | Claimant(s): Raymond San Agustin
Claimant Lawyers(s): Christopher L. Schaeffer
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
| | |
| 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
| | |
| 16-02825 | 11/05/2021 | Claimant(s): David Hirsch, James Kelly, James Whitney, Mark Hutchinson, Mary DiChristofano, Michael Board, Michael Sakach, Paul Vandenheuvel
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Brian E. Spang
Arbitrator(s): Steven H. Vogel, Leonard Arthur Nelson, Richard Lane Miller
Hearing Site: Chicago, IL
| | |
