| 23-00739 | 08/30/2024 | Claimant(s): Rosalie Balhan
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Edward Jones
Respondent Lawyers(s): Michelle D. Nasser
Arbitrator(s): Lynn Hirschfeld Brahin, John L. Krauss, David Joseph Remondini
Hearing Site: Indianapolis, IN
|  | Dismissed by Rule 12700(a) |
| 20-02297 | 06/30/2023 | Claimant(s): Thomas Jester
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Carl Williams, Diane Buchanan, Stephanie Elliott, Chapin Davis
Respondent Lawyers(s): Douglas W. Hyman, Michael P. Shaw
Arbitrator(s): Steven H. Vogel, Joseph A. Landa, Iris Sagrado
Hearing Site: Chicago, IL
| | |
| 19-03119 | 01/05/2022 | Claimant(s): Daniel Schreiner
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Ameriprise Financial Services, Stephen Ross
Respondent Lawyers(s): Jeffrey L. Rudd, Julie Fleming-Wolfe
Arbitrator(s): Michael S. Jordan, Susan L. Walker, William John Lillwitz
Hearing Site: Chicago, IL
| | |
| 19-02561 | 07/22/2021 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Neal Rutman
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Edward Turner Borer, Joseph J. Dougherty, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 20-03149 | 06/29/2021 | Claimant(s): Yulun Wu
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Mark W Solock
Hearing Site: Chicago, IL
| | |
| 20-03718 | 06/24/2021 | Claimant(s): Trevor Wurtzebach
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Theodore W. Wrobleski, Susanne J. Hollander, Scott Miller
Hearing Site: Chicago, IL
| | |
| 20-03150 | 03/25/2021 | Claimant(s): Thomas Paulson
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
| | |
| 19-02877 | 06/08/2020 | Claimant(s): William Laheta
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Peter Ordower
Hearing Site: Chicago, IL
| | |
| 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
| | |
| 17-01670 | 11/05/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): David Cote
Respondent Lawyers(s): David John Cote
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | |
