| 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 |
| 19-01179 | 05/26/2022 | Claimant(s): Marlyn Schipper
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Prudential Investment Mgmt Services LLC, Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge, Marilyn B. Rosen
Arbitrator(s): Michael Nathanson, Jacqueline Stanley Lustig, Thomas P. Valenti
Hearing Site: Chicago, IL
|  | $0 |
| 20-00954 | 03/31/2022 | Claimant(s): Janet M. Wittmer, Ronald E. Wittmer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Daniel Murray, Douglas Guarino, Jeff Snyder, Rockwell Global Capital LLC
Respondent Lawyers(s): Daniel Robert Murray, Douglas Joseph Guarino, Jeff David Snyder, Robert M. Bursky
Arbitrator(s): Steven H. Vogel, Jacqueline Stanley Lustig, Stuart W. Smith
Hearing Site: Chicago, IL
| | $0 |
| 19-03088 | 08/04/2021 | Claimant(s): Brooklight Place Securities.
Claimant Lawyers(s): Kristi L. Browne
Respondent(s): Charles Brettell, Joanne Woiteshek, Richard Peterbok, Interactive Financial Advisors.
Respondent Lawyers(s): James L. Kopecky, Kristi L. Browne
Arbitrator(s): Joy Pava Shulruff, Jacqueline Stanley Lustig, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | |
| 19-01830 | 11/21/2020 | Claimant(s): Yufang Duan
Claimant Lawyers(s): Michael J. Robins
Respondent(s): Yannan Wang, New City Capital LLC
Respondent Lawyers(s): Mark David Hunter
Arbitrator(s): Larry Evert Carlson, Jacqueline Stanley Lustig, Scott Stauffer
Hearing Site: Chicago, IL
| | Dismissed |
| 18-00990 | 02/27/2020 | Claimant(s): Yonata Berman
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Andalman, PTI Securities & Futures L. P.
Respondent Lawyers(s): Glenn Seiden, Gregg Rzepczynski
Arbitrator(s): Larry Evert Carlson, Jacqueline Stanley Lustig, Bernadett R DeLise
Hearing Site: Chicago, IL
| | $170,700 |
| 17-02034 | 05/22/2018 | Claimant(s): Greg Morelli
Claimant Lawyers(s): John M. Sheldon
Respondent(s): Morgan Stanley & Co., Philipp Weisskopf
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Charles Orlove, Jacqueline Stanley Lustig, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
| 13-00613 | 11/08/2013 | Claimant(s): Charles Byrd, Dan DeSimoni, Dennis Owens, Doug Reinhart, Greg Stringer, Hammond Hunt, Henry Respess, Irvin Plowden, J. Turner Hunt, Massimo DeSimoni, Maxine Kelley, Michael DeSimoni, Paul Reinhart, Willard Hill, William Hunt, William "Will" Bunker
Claimant Lawyers(s): Scott F. Hessell
Respondent(s): Deutsche Bank Securities., David Parse, Raymond Brubaker, DB Alex. Brown LLC, Deutsche Bank AG
Respondent Lawyers(s): Allan N. Taffet, Keith E. Blackman, Kevin E. O'Reilly, Paul H. Schoeman, The Company President
Arbitrator(s): Joseph D. Vu, Marilee Roberg, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 12-01815 | 07/01/2013 | Claimant(s): Cynthia Undesser, John Undesser, Richard Undesser
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William M. Getzoff, Rody P. Biggert, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | $0 |
| 12-03918 | 06/27/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Allison Ember, Daniel Ember UILUTMA, Michael Ember UILUTMA, G. Howard and Patricia R. Ember JTTEN
Respondent Lawyers(s): G. Howard Ember
Arbitrator(s): Phillips M. Montross, Michael Howard Rosenbloom, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | Expungement |
