| 19-03695 | 07/28/2020 | Claimant(s): Timothy McGrath
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | |
| 18-00366 | 07/20/2020 | Claimant(s): Cendrowski Selecky Professional Corp
Claimant Lawyers(s): Jessica Lynn Dagley
Respondent(s): Brent Kalka, David Nissen, Avantax Investment Services.
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Lynn Hirschfeld Brahin, Susan L. Walker, Walter Patrick Giblin
Hearing Site: Chicago, IL
|  | $0 |
| 19-03255 | 07/03/2020 | Claimant(s): John Piemonte
Claimant Lawyers(s): Brian Sasan Hormozi
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 19-03589 | 06/19/2020 | Claimant(s): Jacob Fitzgerald
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 20-00512 | 06/16/2020 | Claimant(s): Cody Overstreet
Claimant Lawyers(s): Scott Holcomb
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Myra P Nicholson
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | |
| 19-02877 | 06/08/2020 | Claimant(s): William Laheta
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Peter Ordower
Hearing Site: Chicago, IL
| | |
| 19-02661 | 05/07/2020 | Claimant(s): Patricia Loris
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Laurel A. Whelan
Arbitrator(s): Donald M. Thompson
Hearing Site: Chicago, IL
| | |
| 20-00115 | 04/30/2020 | Claimant(s): World Equity Group.
Claimant Lawyers(s): Matthew C. Boba
Respondent(s): Victoria Midstream LLC
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
| | |
| 17-02728 | 04/29/2020 | Claimant(s): Audrey Niehoff
Claimant Lawyers(s): Laurence Landsman
Respondent(s): Jeffrey Berenson, Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr
Arbitrator(s): Jerome F. Crotty, Raymond P. Buschmann, Marcia Bonita Gevers
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
| 19-00028 | 04/28/2020 | Claimant(s): Susan Grcevich
Claimant Lawyers(s): Carter S. Plotkin
Respondent(s): Wells Fargo Clearing Services, Philip Farese
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): William M. Getzoff, Daniel R. Formeller, Lee H. Goodman
Hearing Site: Chicago, IL
| | Expungement |
