| 22-02465 | 10/13/2023 | Claimant(s): Flavius Sindile
Claimant Lawyers(s): Andrew S. May
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. Vonderheide
Arbitrator(s): Michael S. Matek, Michael R. Sherwin, Andreanna A. Leon
Hearing Site: Chicago, IL
| | |
| 19-00016 | 10/05/2022 | Claimant(s): Arthur Olson
Claimant Lawyers(s): James J. Moylan
Respondent(s): Morgan Stanley & Co., Kenneth Camarella, Paula Epstein
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Ray J. Grzebielski, Sal Presti, Michael R. Sherwin
Hearing Site: Chicago, IL
|  | $0 |
| 21-01283 | 03/17/2022 | Claimant(s): Anthony Riscili
Claimant Lawyers(s): James P. Galvin
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Susanne J. Hollander, Michael R. Sherwin, Alfonso Cobb
Hearing Site: Chicago, IL
| | |
| 21-00022 | 06/01/2021 | Claimant(s): Norbert Filian
Claimant Lawyers(s): Christopher Seps
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Leon Fox, Michael R. Sherwin, Stephen M. Parlier
Hearing Site: Chicago, IL
| | |
| 17-03296 | 03/10/2020 | Claimant(s): Jennifer Pavlik, Jon Pavlik, Jennifer Pavlik Roth IRA, Jon Pavlik Roth IRA, Edward J. Pavlik Rev Trust DTD 3/9/82
Claimant Lawyers(s): Edward Pavlik
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Steven H. Vogel, Michael R. Sherwin, Thomas P. Valenti
Hearing Site: Chicago, IL
| | Dismissed by Rule 12212(c) |
| 17-01254 | 08/05/2019 | Claimant(s): Bin Liu, Bing Dao, Daquan Li, Fawn Lin-Moy, Folim Halaka, Hailin Yan, Hana Shenouda, Hang Yuan, Jan Cheng, Jia Liu, Jie Chen, John Pollick, Jun Zhou, Ke Zhang, Ling Li, Liping Zhong, Min Zhang, Minqi Wan, Mu Liu, Philip Zou, et al
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Sara Ng
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Philip J. Glick, Elizabeth C. Simon, Michael R. Sherwin
Hearing Site: Chicago, IL
| | Expungement |
| 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 |
| 16-01476 | 06/15/2017 | Claimant(s): James Holstein Rev. Trust dated 10/24/14, Lisa Holstein Rev. Trust dated 10/24/14
Claimant Lawyers(s): John C. Barlow
Respondent(s): Chicago Partners Investment Group LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Kenneth N. Adamson, Jerome Arthur Connolly, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
| 11-02945 | 07/26/2012 | Claimant(s): Fred Prudhomme
Claimant Lawyers(s): James A. McGurk
Respondent(s): Arnold Janickas, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ray J. Grzebielski, Caroline N. Harney, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $140,300 |
| 10-05035 | 04/27/2012 | Claimant(s): Robert Gaynor, Custodial Or Education Savings Acct, Robert S. Gaynor IRA, Robert S. Gaynor Special Account
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): William M. Koziol, Philip J. Glick, Michael R. Sherwin
Hearing Site: Chicago, IL
| | Expungement |
