| 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
| | |
| 23-00545 | 12/12/2023 | Claimant(s): Martin Gruner
Claimant Lawyers(s): Kristina Contreras
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 23-02112 | 12/08/2023 | Claimant(s): Tonya Simmons
Claimant Lawyers(s): Tonya A. Simmons
Respondent(s): AET Investment Services
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Michael S. Jordan
Hearing Site: Chicago, IL
| | $0 |
| 21-00982 | 12/07/2023 | Claimant(s): Dania Sepahrokh, Jerome Menig, Renee Vonalmen, Saurin Patel, Tamaira Suwanski
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Randall M. Lending
Arbitrator(s): Michael S. Matek, Ann Hagerty, Robert F Hogan
Hearing Site: Chicago, IL
| | |
| 22-00491 | 12/04/2023 | Claimant(s): Doris Mctyre
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Amanda Scipione, Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas Michael Genovese, James Reiman, Floyd A Bednarz
Hearing Site: Chicago, IL
| | |
| 23-01318 | 11/29/2023 | Claimant(s): Michael Stewart
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): R. Samuel Gilley
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | |
| 22-02085 | 11/15/2023 | Claimant(s): Martin Lorenzen
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): David Morris
Respondent Lawyers(s): David Jeffrey Morris
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $100,000 |
| 23-00865 | 11/15/2023 | Claimant(s): Gery Sadzewicz
Claimant Lawyers(s): Barry P. Kaltenbach
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth R. Aylett
Arbitrator(s): Raymond P. Buschmann, Sally J. Wiggins, Jacob Gorr
Hearing Site: Chicago, IL
| | |
