| 19-02585 | 04/09/2020 | Claimant(s): William Laheta
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | |
| 19-01781 | 03/20/2020 | Claimant(s): Elio Chiappetta IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
|  | $75,225 |
| 18-01955 | 01/15/2020 | Claimant(s): David Vorbeck, Stephen Dunnuck, Stephen Wien
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Kim M. Ruckdaschel-Haley
Arbitrator(s): Thomas F. Mahoney, Donald Glen Russell, Timothy Crook
Hearing Site: Indianapolis, IN
| | |
| 19-00451 | 10/01/2019 | Claimant(s): Russell Nieland
Claimant Lawyers(s): Matt Wolper
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Bethmarie Bohn
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Des Moines, IA
| | |
| 19-00125 | 09/09/2019 | Claimant(s): Brian Luther
Claimant Lawyers(s): Megan S. Wright
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Thomas F. Mahoney, Charles G. Michaels, Bryan L. Johnson
Hearing Site: Omaha, NE
| | |
| 16-01499 | 05/01/2019 | Claimant(s): Bruce Benna
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Michael Lavolpe
Respondent Lawyers(s): Michael Scott Lavolpe
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Des Moines, IA
| | $63,496 |
| 18-01481 | 01/18/2019 | Claimant(s): David Sheppard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | |
| 17-01293 | 08/27/2018 | Claimant(s): LeAnn Blackwell
Claimant Lawyers(s): Raymond Daniel Faust
Respondent(s): John Whitaker, Stifel, Nicolaus & Co.., City Securities Corporation
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Thomas F. Mahoney, Philip J. Glick, Tim V. Young
Hearing Site: Indianapolis, IN
| | $0 |
| 17-03011 | 07/23/2018 | Claimant(s): Roy Strong
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Indianapolis, IN
| | |
| 17-03356 | 07/09/2018 | Claimant(s): Randall Lehman
Claimant Lawyers(s): Owen Harnett
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Indianapolis, IN
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