| 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
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| 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
| | |
| 22-00377 | 06/16/2023 | Claimant(s): James Gualandi
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Edward Jones
Respondent Lawyers(s): Roger P. Meyers
Arbitrator(s): Philip J. Glick, Jacqueline Stanley Lustig, Elizabeth Horne
Hearing Site: Chicago, IL
| | Expungement |
| 22-02296 | 06/15/2023 | Claimant(s): Mark Thorndyke
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | |
| 22-02659 | 06/13/2023 | Claimant(s): Chenguttuvan Surendran
Claimant Lawyers(s): James P. Galvin
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Sue Zouky
Arbitrator(s): Susanne J. Hollander, James Hofheimer, Jean Jacques Kande
Hearing Site: Chicago, IL
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