| 22-00051 | 08/03/2022 | Claimant(s): Steven Laporta
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
| | |
| 20-03829 | 07/21/2022 | Claimant(s): Rahul Deepankar
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Stuart D. Summers, Daniel R. Formeller, Philip J. Glick
Hearing Site: Chicago, IL
|  | Expungement |
| 21-01912 | 03/28/2022 | Claimant(s): Julie Johnson
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, John Murphy
Arbitrator(s): Philip J. Glick, Michael Jeffrey Norton, Gregory M. Scanlon
Hearing Site: Denver, CO
| | |
| 20-01977 | 02/11/2022 | Claimant(s): Bryan Montemurro
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Philip J. Glick
Hearing Site: Kansas City, MO
| | |
| 20-03639 | 12/09/2021 | Claimant(s): Charles McCallum, Constance McCallum
Claimant Lawyers(s): Paul A. Albarran
Respondent(s): Bryan Tutton, Edward Jones
Respondent Lawyers(s): Roger P. Meyers
Arbitrator(s): Philip J. Glick, Hugh John Totten, Dennis C. Waldon
Hearing Site: Chicago, IL
| | Expungement |
| 19-00896 | 11/23/2021 | Claimant(s): Steven F. Weinstock Trust DTD 10/26/09
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J Borrelli
Arbitrator(s): Philip J. Glick, Michael S. Jordan, Maya Steinitz
Hearing Site: Chicago, IL
| | $450,000 |
| 20-03005 | 10/13/2021 | Claimant(s): Andrew Burish
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
| | |
| 20-02840 | 10/06/2021 | Claimant(s): John Randolph
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Philip J. Glick
Hearing Site: Minneapolis, MN
| | |
| 20-02929 | 10/05/2021 | Claimant(s): Thomas Brough
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
| | |
| 20-04089 | 09/15/2021 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): Guggenheim Funds Distributors
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Philip J. Glick, Gerald W. Hepp, David E. Bailey
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504(a)(6)(A) |
