| 22-00940 | 11/15/2022 | Claimant(s): Anthony Vito
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Arne R. Rode
Hearing Site: Chicago, IL
| | |
| 16-03756 | 03/14/2020 | Claimant(s): Daniel Jakuta, David Heide, John Golen, Mark Anderson
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): Mark L Miller, Arne R. Rode, Alfonso Cobb
Hearing Site: Chicago, IL
| | |
| 19-01212 | 03/13/2020 | Claimant(s): American Homeowner Preservation
Claimant Lawyers(s): David Miller
Respondent(s): Mountainview Securities.
Respondent Lawyers(s): Michele R. Blythe
Arbitrator(s): William M. Getzoff, Arne R. Rode, Stephen Jeremiah O'Neil
Hearing Site: Chicago, IL
|  | Dismissed by Rule 12206/12504 |
| 18-00564 | 11/18/2019 | Claimant(s): Interactive Financial Advisors.
Claimant Lawyers(s): James L. Kopecky
Respondent(s): GWN Securities Inc.
Respondent Lawyers(s): Kathy Klock
Arbitrator(s): Theodore W. Wrobleski, Arne R. Rode, John Michael O'Toole
Hearing Site: Chicago, IL
| | |
| 18-03767 | 06/05/2019 | Claimant(s): Jason Spears
Claimant Lawyers(s): Jason P. Spears
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Arne R. Rode
Hearing Site: Chicago, IL
| | |
| 17-02700 | 01/31/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Matthew Maczko, IRA, Matthew Maczko and Loretta Maczko Joint, Loretta Maczko Dec of Trus, Matthew Maczko Dec of Trust
Respondent Lawyers(s): Matthew Christopher Maczko
Arbitrator(s): Arne R. Rode, Jerome K. Rumps, Alan Rosen
Hearing Site: Chicago, IL
| | $0 |
| 10-03006 | 01/17/2012 | Claimant(s): James Lockwood
Claimant Lawyers(s): Jennifer Walsh Hammer
Respondent(s): Gary Lowery, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Patrick G. King
Arbitrator(s): Frank R. Niederman, Arne R. Rode, Leon Fox
Hearing Site: Chicago, IL
| | Expungement |
| 07-02377 | 11/19/2008 | Claimant(s): Shirish Shah
Claimant Lawyers(s): Mitchell Kline
Respondent(s): Nilam Patel, New York Life Insurance
Respondent Lawyers(s): David S. Baffa, Michael A. Warner
Arbitrator(s): Arne R. Rode, Mitchell Lee Marinello, David J. Dahl
Hearing Site: Chicago, IL
| | |
