| 17-00630 | 07/03/2018 | Claimant(s): Chris Schlatter
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Barry Kiront, Blake Kiernan, Stephen Kiront, Woodstock Financial Group.
Respondent Lawyers(s): Blake H. Kiernan, John E. Lawlor, Martin P. Unger
Arbitrator(s): Thomas F. Mahoney, David J. Hase, Mark A. Frankel
Hearing Site: Des Moines, IA
|  | $105,000 |
| 15-00186 | 07/12/2017 | Claimant(s): Jose Valencia
Claimant Lawyers(s): Glen R. Gaffney
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): William F. Dugan
Arbitrator(s): Thomas F. Mahoney, Eugene N. Halladay, Roger Keith MacDougall
Hearing Site: Chicago, IL
| | |
| 15-00770 | 03/06/2017 | Claimant(s): Michael Freese
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Waveland Capital Partners LLC
Respondent Lawyers(s): Brett G. Evans
Arbitrator(s): Thomas F. Mahoney, Arthur Richard Tow, Mark A. Frankel
Hearing Site: Des Moines, IA
| | $70,000 |
| 16-03365 | 03/01/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Jeremiah Charlson
Respondent Lawyers(s): Jeremiah Jens Charlson
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Rapid City, SD
| | |
| 15-02080 | 10/11/2016 | Claimant(s): BMO Harris Financial Advisors.
Claimant Lawyers(s): Maria Kreiter
Respondent(s): Neil Moscicki, Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Frank Samuelsohn, Thomas F. Mahoney, Michael F. Jordan
Hearing Site: Chicago, IL
| | |
| 14-03863 | 04/04/2016 | Claimant(s): Gregory Wisniewski
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Thomas F. Mahoney, Brian E. Slotky, Michael I. White
Hearing Site: Chicago, IL
| | |
| 15-00692 | 03/17/2016 | Claimant(s): Yaser Moustafa
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Romano Brothers And Company
Respondent Lawyers(s): William B. Berndt
Arbitrator(s): Thomas F. Mahoney, G. Gale Roberson, Daniel R. Formeller
Hearing Site: Chicago, IL
| | $155,000 |
| 15-00244 | 08/04/2015 | Claimant(s): Linda Wrobel
Claimant Lawyers(s): Linda Susan Wrobel
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | |
| 14-01611 | 03/20/2015 | Claimant(s): Marvin Pearlman
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Peter Bruno, Wall Street Money Center Corp.
Respondent Lawyers(s): Peter Bruno
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $27,666 |
| 13-01838 | 11/12/2014 | Claimant(s): Robert Kenneke
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Fifth Third Securities., Mark Rottler
Respondent Lawyers(s): Christen M. Steimle
Arbitrator(s): Michael S. Matek, Thomas F. Mahoney, Michael David Bohne
Hearing Site: Chicago, IL
| | $100,000 |
