| 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
| | |
| 23-00585 | 11/13/2023 | Claimant(s): Rohin Ullberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Jeremy Wooden
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | |
| 23-01371 | 11/10/2023 | Claimant(s): Michael Fantasia
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. PIzzitola
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
| | |
| 22-02465 | 10/13/2023 | Claimant(s): Flavius Sindile
Claimant Lawyers(s): Andrew S. May
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. Vonderheide
Arbitrator(s): Michael S. Matek, Michael R. Sherwin, Andreanna A. Leon
Hearing Site: Chicago, IL
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