| 19-02585 | 04/09/2020 | Claimant(s): William Laheta
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | |
| 17-02177 | 04/08/2020 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Rajesh Gupta
Respondent Lawyers(s): Aaron Maduff
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 19-02899 | 03/26/2020 | Claimant(s): Louis Stough, Martin Guerra
Claimant Lawyers(s): James A. McGovern
Respondent(s): Reliance Worldwide Investments
Respondent Lawyers(s): Barry F. MacEntee
Arbitrator(s): Peter Ordower, Stuart D. Summers, Scott Hartnett Godish
Hearing Site: Chicago, IL
| | |
| 19-02391 | 03/23/2020 | Claimant(s): Roch Tranel
Claimant Lawyers(s): Kathy M. Klock
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Liza Perlow
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | |
| 19-01781 | 03/20/2020 | Claimant(s): Elio Chiappetta IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
|  | $75,225 |
| 16-03756 | 03/14/2020 | Claimant(s): Daniel Jakuta, David Heide, John Golen, Mark Anderson
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): Mark L Miller, Arne R. Rode, Alfonso Cobb
Hearing Site: Chicago, IL
| | |
| 19-01212 | 03/13/2020 | Claimant(s): American Homeowner Preservation
Claimant Lawyers(s): David Miller
Respondent(s): Mountainview Securities.
Respondent Lawyers(s): Michele R. Blythe
Arbitrator(s): William M. Getzoff, Arne R. Rode, Stephen Jeremiah O'Neil
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
| 19-03003 | 03/12/2020 | Claimant(s): tastyworks.
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Syed Ali
Respondent Lawyers(s): Syed Ali
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | Dismissed |
| 18-02615 | 03/10/2020 | Claimant(s): Francisco Guadalupe
Claimant Lawyers(s): Brittany Weiner
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Frederic M. Rizzo, Leonard Arthur Nelson, David Michael Rafferty
Hearing Site: Chicago, IL
| | |
| 17-03296 | 03/10/2020 | Claimant(s): Jennifer Pavlik, Jon Pavlik, Jennifer Pavlik Roth IRA, Jon Pavlik Roth IRA, Edward J. Pavlik Rev Trust DTD 3/9/82
Claimant Lawyers(s): Edward Pavlik
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Steven H. Vogel, Michael R. Sherwin, Thomas P. Valenti
Hearing Site: Chicago, IL
| | Dismissed by Rule 12212(c) |
