| 18-00990 | 02/27/2020 | Claimant(s): Yonata Berman
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Andalman, PTI Securities & Futures L. P.
Respondent Lawyers(s): Glenn Seiden, Gregg Rzepczynski
Arbitrator(s): Larry Evert Carlson, Jacqueline Stanley Lustig, Bernadett R DeLise
Hearing Site: Chicago, IL
|  | $170,700 |
| 17-00463 | 01/20/2020 | Claimant(s): Shahida Hossain
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lindsay Wuller
Arbitrator(s): Ray J. Grzebielski, Robert J. Larson, Elizabeth C. Burton
Hearing Site: Chicago, IL
| | $0 |
| 19-01721 | 01/16/2020 | Claimant(s): Paul Reider
Claimant Lawyers(s): David A Genelly
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 19-01189 | 01/13/2020 | Claimant(s): Jorge Blanco
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | |
| 19-02892 | 01/13/2020 | Claimant(s): Mark Zaharski
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 18-01282 | 01/10/2020 | Claimant(s): Kristin Anderson
Claimant Lawyers(s): Morgan D. Schut
Respondent(s): Edward Jones
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | |
| 19-01509 | 01/09/2020 | Claimant(s): Gale Penn, Robert Penn
Claimant Lawyers(s): Gary Menzer
Respondent(s): Anthony Hobson, Next Financial Group.
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): Mark L Miller, Steven M. Bierig, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
| 15-03341 | 01/06/2020 | Claimant(s): Frank Eder
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Neuberger Berman Management LLC, Neuberger Berman Fixed Income, Neuberger Berman Group, Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Theodore W. Wrobleski, P J Boylan, Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 19-01500 | 12/30/2019 | Claimant(s): David Henry
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Tim Meehan
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
| | |
| 18-03644 | 12/24/2019 | Claimant(s): Pruco Securities., Prudential Insurance Company Of America
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Michael Witsman
Respondent Lawyers(s): Jerry M. Santangelo
Arbitrator(s): Andrew Brehm, Philip J. Glick, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
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