| 17-02211 | 11/25/2020 | Claimant(s): The Braeside Foundation
Claimant Lawyers(s): Jacob Kahn
Respondent(s): Carl Birkelbach, Nicholas Avello, Forest Securities.
Respondent Lawyers(s): Christopher Wurtzinger, James J. Moylan, Nicholas Thomas Avello
Arbitrator(s): Larry Evert Carlson, Thomas F. Ryan, Philip J. Glick
Hearing Site: Chicago, IL
|  | $405,000 |
| 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
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| 15-01452 | 12/20/2016 | Claimant(s): Kimberly Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas F. Ryan, Charles Orlove, Michael J. Rappa
Hearing Site: Chicago, IL
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| 12-03102 | 12/06/2013 | Claimant(s): Michael Pall
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): Carrie A. Durkin
Arbitrator(s): Thomas F. Ryan, Leonard Arthur Nelson
Hearing Site: Chicago, IL
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| 11-01535 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Sean Rhodes
Respondent Lawyers(s): Sean Collin Rhodes
Arbitrator(s): Jeffrey W. Finke, Thomas F. Ryan, James A. Murphy
Hearing Site: Chicago, IL
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| 11-00079 | 04/27/2012 | Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): Peter D. Schiff
Respondent(s): Pershing LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Thomas F. Ryan, Daniel Baruch Lidawer, Jeffrey L. Durkes
Hearing Site: Chicago, IL
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| 06-00700 | 12/20/2007 | Claimant(s): Dennis Metter, Donald Metter
Claimant Lawyers(s): Paula K. Maguire
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Jennifer R. Seltenrich
Arbitrator(s): Victor Elting, Thomas F. Ryan, Jeffrey L. Durkes
Hearing Site: Chicago, IL
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