| 21-01817 | 03/23/2023 | Claimant(s): Roger Johnson
Claimant Lawyers(s): David Vermont
Respondent(s): Frank Black, Kostas Tsamos, Southeast Investments, N.C..
Respondent Lawyers(s): Alan M. Wolper, Liam O'Brien
Arbitrator(s): Larry Evert Carlson, Marilee Roberg, Howard T. Goffen
Hearing Site: Chicago, IL
|  | $0 |
| 23-00026 | 03/22/2023 | Claimant(s): John Jacobs
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
| | |
| 22-01983 | 03/21/2023 | Claimant(s): James Passarelli
Claimant Lawyers(s): Andrew Duncan
Respondent(s): Nicholas Adducci
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | $213 |
| 21-01618 | 02/27/2023 | Claimant(s): Kenton Rose, Marie Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Charles Kiker, Commonwealth Financial Network
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Theodore W. Wrobleski, Robert S. Grabemann, Helen B Bloch
Hearing Site: Chicago, IL
| | $0 |
| 22-01135 | 02/23/2023 | Claimant(s): Susan Bergin
Claimant Lawyers(s): Susan Bergin
Respondent(s): Daniel Sypien, Edward Jones, Sherry Wilson
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
| | $0 |
| 22-01560 | 02/14/2023 | Claimant(s): David Hirsch
Claimant Lawyers(s): Heather B. Middleton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
| | |
| 22-00606 | 12/30/2022 | Claimant(s): Michael Bledsoe
Claimant Lawyers(s): Michael Bledsoe
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Leon Fox, Scott Stauffer, Shimon Benyamin Kahan
Hearing Site: Chicago, IL
| | $0 |
| 21-00034 | 12/15/2022 | Claimant(s): Mark Birringer
Claimant Lawyers(s): John David Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Thomas Michael Genovese, Matthew D Arbit, Robert Joseph Musur
Hearing Site: Chicago, IL
| | |
| 22-00940 | 11/15/2022 | Claimant(s): Anthony Vito
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Arne R. Rode
Hearing Site: Chicago, IL
| | |
| 21-01761 | 11/07/2022 | Claimant(s): Carlos Legaspy
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Insight Securities.
Respondent Lawyers(s): James Gaafar
Arbitrator(s): Lawrence W. Arness, Marilee Roberg, Seymour Andrew Newman
Hearing Site: Chicago, IL
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