| 21-00982 | 12/07/2023 | Claimant(s): Dania Sepahrokh, Jerome Menig, Renee Vonalmen, Saurin Patel, Tamaira Suwanski
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Randall M. Lending
Arbitrator(s): Michael S. Matek, Ann Hagerty, Robert F Hogan
Hearing Site: Chicago, IL
| | |
| 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 |
| 20-01942 | 07/01/2022 | Claimant(s): John Lenarz
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Wells Fargo Clearing Services, John Adams, Mark Giese
Respondent Lawyers(s): Retta Miller
Arbitrator(s): Lee T. Beske, Lynn Hirschfeld Brahin, Ronald Chun
Hearing Site: Bismarck, ND
| | |
| 20-03658 | 06/13/2022 | Claimant(s): Phyllis Raucher, Phyllis Raucher IRA, Raucher Family Trust
Claimant Lawyers(s): Robert Cornish
Respondent(s): Michael Ecker
Respondent Lawyers(s): Stephany D. McLaughlin
Arbitrator(s): Elena G. Rodriguez, Mary C. Walsh, Timothy Wildman
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-01144 | 02/10/2022 | Claimant(s): Carol Keene
Claimant Lawyers(s): Carol Keene
Respondent(s): Anthony Valente, Morgan Stanley, Ronnie Guidone, Yuji Fujii
Respondent Lawyers(s): Abigail D. Elrod, Stephany D. McLaughlin
Arbitrator(s): Albert T. T. Cook, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Albuquerque, NM
| | Expungement |
| 19-00731 | 02/02/2021 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew B Henneman
Respondent(s): Amad Owidi
Respondent Lawyers(s): Stephany D. McLaughlin
Arbitrator(s): John F. Hinrichs, Lynne M. Gomez, Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 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 |
| 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
| | |
| 14-02170 | 01/29/2019 | Claimant(s): John Fichera, John Hoidas, Lawrence Doody
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): William Vellon, Kingsbury Capital LLC, Spencer Trask Ventures.
Respondent Lawyers(s): Barry M. Bordetsky, Nicholas P. Iavarone
Arbitrator(s): Michael S. Matek, Thomas F. Ryan, Michael Nathanson
Hearing Site: Chicago, IL
| | |
| 17-01618 | 05/09/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Donavan Mayes, Gayle Bullock, William Bullock
Respondent Lawyers(s): Stephany D. McLaughlin, Timothy N Will
Arbitrator(s): Andrew M. Mintzer, Dorothy B. Strackbein, Owen Frances
Hearing Site: Los Angeles, CA
| | |
