| 23-01382 | 04/11/2024 | Claimant(s): Gregory Benner
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 22-02150 | 03/22/2024 | Claimant(s): Alfredo Serrano, Daniel Raupp, Gary Phelps, Henry Enno, Manfred Hegwer, Scott Weissman, Thomas Bruce
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Meaghan VerGow
Arbitrator(s): Caroline N. Harney, Allen Greenberg, Mark W Solock
Hearing Site: Chicago, IL
| | |
| 23-03104 | 03/21/2024 | Claimant(s): Goshgar Huseynov
Claimant Lawyers(s): Goshgar Huseynov
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
|  | $0 |
| 22-00526 | 03/13/2024 | Claimant(s): Patrick Troy, Patrick J. Troy Living Trust
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Brad Goldberg, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Leonard Arthur Nelson, Yana Karnaukhov, Takia D Washington
Hearing Site: Chicago, IL
| | $1 |
| 23-02085 | 03/08/2024 | Claimant(s): Camille Thomas
Claimant Lawyers(s): Camille Thomas
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven H. Vogel, Gerald G Saltarelli, Vincent Joseph Hart
Hearing Site: Chicago, IL
| | $0 |
| 23-02491 | 02/26/2024 | Claimant(s): Raymond James & Associates.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Katherine Tarbox
Respondent Lawyers(s): Katherine Alexandra Tarbox
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | |
| 23-03066 | 02/22/2024 | Claimant(s): Hiive Markets Limited
Claimant Lawyers(s): Marc M. Yenicag
Respondent(s): Ethelbert Williams
Respondent Lawyers(s): Ethelbert Williams
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 23-01746 | 02/12/2024 | Claimant(s): Terry Hopkins
Claimant Lawyers(s): Terry Hopkins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 23-02507 | 02/07/2024 | Claimant(s): GRM Trust No. 12-96
Claimant Lawyers(s): Heidi A. Engel
Respondent(s): Joel Radakovitz
Respondent Lawyers(s): Joel John Radakovitz
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
| | $300 |
| 23-01096 | 12/14/2023 | Claimant(s): Carlos Legaspy
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Insight Securities.
Respondent Lawyers(s): James Gaafar
Arbitrator(s): Lawrence W. Arness, Karl Richard Lukens, David Miller
Hearing Site: Chicago, IL
| | |
