| 23-00267 | 09/05/2023 | Claimant(s): Marcia Litrenta
Claimant Lawyers(s): William B. Young
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
|  | Expungement |
| 23-00447 | 09/01/2023 | Claimant(s): Margaret Burnes
Claimant Lawyers(s): Margaret Burnes
Respondent(s): Gerald Markwith, Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | Expungement |
| 22-00307 | 08/31/2023 | Claimant(s): Roxanne Gottlieb
Claimant Lawyers(s): Anthony F. Fata
Respondent(s): Matrix Capital Advisors
Respondent Lawyers(s): John M. O'Bryan
Arbitrator(s): Thomas Michael Genovese, Dianne Marie Onichimowski, Richard Michael Stanton
Hearing Site: Chicago, IL
| | $0 |
| 22-02748 | 08/23/2023 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | |
| 12-02144 | 08/11/2023 | Claimant(s): John Dietz, Luis Pernia, Estate of William V. Johnson, Bocagrande Trust, Pienza Trust, dissolved Pernia Family Trust
Claimant Lawyers(s): Victor J. Pioli
Respondent(s): Loria Financial Group, MPS-Loria Financial Planners, RIM Securities LLC, Rochdale Investment Management, Rochdale Offshore Management
Respondent Lawyers(s): Jose A. Lopez, Nicholas P. Iavarone, Ronald P. Kane
Arbitrator(s): Michael S. Matek, Susan L. Walker, Yana Karnaukhov
Hearing Site: Chicago, IL
| | $0 |
| 23-00180 | 07/18/2023 | Claimant(s): Joshua Betancourt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sierra Gray
Arbitrator(s): Lisa M. Krimen
Hearing Site: Chicago, IL
| | |
| 22-01990 | 07/11/2023 | Claimant(s): Jane Doyle
Claimant Lawyers(s): Jane Doyle
Respondent(s): Scott Schechter, NYLife Securities LLC
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Mark L Miller, Alan M. Wolper, Steven H. Vogel
Hearing Site: Chicago, IL
| | Expungement |
| 21-03126 | 07/03/2023 | Claimant(s): Marco Iglesias
Claimant Lawyers(s): Leslie A. Blau
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Peter Ordower, Stuart D. Summers, Jeffrey L. Durkes
Hearing Site: Chicago, IL
| | |
| 20-02297 | 06/30/2023 | Claimant(s): Thomas Jester
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Carl Williams, Diane Buchanan, Stephanie Elliott, Chapin Davis
Respondent Lawyers(s): Douglas W. Hyman, Michael P. Shaw
Arbitrator(s): Steven H. Vogel, Joseph A. Landa, Iris Sagrado
Hearing Site: Chicago, IL
| | |
| 22-02723 | 06/28/2023 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | |
