| 23-00477 | 06/04/2024 | Claimant(s): Nathan Plumb
Claimant Lawyers(s): Jonathan W. Hackbarth
Respondent(s): Betty Custer, James Custer
Respondent Lawyers(s): Lester A. Pines
Arbitrator(s): David J. Hase, Michael S. Jordan, Matthew Fisher
Hearing Site: Milwaukee, WI
| | |
| 23-02112 | 12/08/2023 | Claimant(s): Tonya Simmons
Claimant Lawyers(s): Tonya A. Simmons
Respondent(s): AET Investment Services
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Michael S. Jordan
Hearing Site: Chicago, IL
|  | $0 |
| 22-02618 | 09/28/2023 | Claimant(s): Cynthia Perry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Umb Financial Services.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): Michael S. Jordan
Hearing Site: Kansas City, MO
| | |
| 22-02691 | 09/15/2023 | Claimant(s): Rechard Banks-Davis
Claimant Lawyers(s): Rechard Antonio Banks-Davis
Respondent(s): Austin Witt, Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Michael S. Jordan
Hearing Site: Chicago, IL
| | $0 |
| 18-03488 | 07/15/2022 | Claimant(s): James DeChene, James Dechene IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Michael S. Jordan, John M. James, Stephen J Beseres
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-00296 | 01/21/2022 | Claimant(s): Marjorie Ullerich
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Phyllis Karasov, Michael S. Jordan, Alain Frecon
Hearing Site: Minneapolis, MN
| | $170,425 |
| 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
| | |
| 19-00896 | 11/23/2021 | Claimant(s): Steven F. Weinstock Trust DTD 10/26/09
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J Borrelli
Arbitrator(s): Philip J. Glick, Michael S. Jordan, Maya Steinitz
Hearing Site: Chicago, IL
| | $450,000 |
| 19-00450 | 02/24/2020 | Claimant(s): Mary Hagen
Claimant Lawyers(s): Mary Hagen
Respondent(s): Steven Stillman
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Anthony J. Soukenik, Michael S. Jordan, Kim L. Kirn
Hearing Site: St. Louis, MO
| | Dismissed by Rule 12206/12504 |
| 19-02636 | 01/13/2020 | Claimant(s): Sharon Loxton
Claimant Lawyers(s): Sharon P. Loxton
Respondent(s): Ameriprise Financial Services., John Lynch
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Michael S. Jordan
Hearing Site: Milwaukee, WI
| | $3,775 |
