| 17-02836 | 08/15/2018 | Claimant(s): John Riley, Jyoti Riley, Blenheim Companies LLC, Jyoti Riley IRA Account, John and Jyoti Riley Joint Account, J&J Family L.P.
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): Daryl M. Schumacher
Arbitrator(s): Raymond P. Buschmann, Alan Barinholtz, Mark W Solock
Hearing Site: Chicago, IL
|  | Dismissed by Rule 12206 |
| 17-03184 | 08/07/2018 | Claimant(s): Thomas Wojcik, Timothy McCabe
Claimant Lawyers(s): Nathan Lamb
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Rody P. Biggert
Hearing Site: Chicago, IL
| | |
| 18-01113 | 07/20/2018 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shawn Fabian
Respondent(s): Roberto Montano
Respondent Lawyers(s): Roberto Montano
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
| | |
| 17-03347 | 06/08/2018 | Claimant(s): Laurie Barry
Claimant Lawyers(s): William P. Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 17-01533 | 06/05/2018 | Claimant(s): James Piff
Claimant Lawyers(s): Michael Davis
Respondent(s): John Clarke, Kevin Gillespie, Midtown Partners
Respondent Lawyers(s): Saul Roffe
Arbitrator(s): James J. Stamos, David J. Dahl, Frances P. Kao
Hearing Site: Chicago, IL
| | |
| 17-02746 | 06/04/2018 | Claimant(s): Jeffrey Mackevich
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David Hantman
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 16-03687 | 06/04/2018 | Claimant(s): Robert Dekas
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Michael S. Matek, Anthony P. Pecora, Richard A. Berman
Hearing Site: Chicago, IL
| | $800,000 |
| 17-02453 | 05/31/2018 | Claimant(s): Louis Paster, Paul Tashima
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | |
| 17-02034 | 05/22/2018 | Claimant(s): Greg Morelli
Claimant Lawyers(s): John M. Sheldon
Respondent(s): Morgan Stanley & Co., Philipp Weisskopf
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Charles Orlove, Jacqueline Stanley Lustig, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
| 16-00767 | 04/05/2018 | Claimant(s): Kirk Hoffman
Claimant Lawyers(s): James Malachy Meaney
Respondent(s): Dieter Huber, National Securities Corporation, Kay Johnson, Kieran Loughran, Mark Goldwasser
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Steven H. Vogel, Stephen W. Mack, Frank A. Dusek
Hearing Site: Chicago, IL
| | Expungement |
