| 23-02874 | 05/24/2024 | Claimant(s): Ronald Hoyle
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Grove Point Investments, J.W. Cole Financial.
Respondent Lawyers(s): Gregg J. Breitbart, Matt Winterhalter
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 23-02085 | 03/08/2024 | Claimant(s): Camille Thomas
Claimant Lawyers(s): Camille Thomas
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven H. Vogel, Gerald G Saltarelli, Vincent Joseph Hart
Hearing Site: Chicago, IL
|  | $0 |
| 22-02558 | 09/22/2023 | Claimant(s): Michael Mcintyre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Jerome F. Crotty, Henry G. Nothnagel, Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 22-01990 | 07/11/2023 | Claimant(s): Jane Doyle
Claimant Lawyers(s): Jane Doyle
Respondent(s): Scott Schechter, NYLife Securities LLC
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Mark L Miller, Alan M. Wolper, Steven H. Vogel
Hearing Site: Chicago, IL
| | Expungement |
| 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
| | |
| 21-02066 | 08/01/2022 | Claimant(s): Abdul Mohammed
Claimant Lawyers(s): Abdul Mohammed
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Ray J. Grzebielski, Steven H. Vogel, Phillip I. Finkelstein
Hearing Site: Chicago, IL
| | $0 |
| 21-00211 | 07/27/2022 | Claimant(s): Bernard So
Claimant Lawyers(s): Joseph R. Henderson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John Stewart
Arbitrator(s): Steven H. Vogel, Walter Patrick Giblin, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | $0 |
| 21-01754 | 06/15/2022 | Claimant(s): John Freiburger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 21-01861 | 04/27/2022 | Claimant(s): Mason Hallett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 20-00954 | 03/31/2022 | Claimant(s): Janet M. Wittmer, Ronald E. Wittmer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Daniel Murray, Douglas Guarino, Jeff Snyder, Rockwell Global Capital LLC
Respondent Lawyers(s): Daniel Robert Murray, Douglas Joseph Guarino, Jeff David Snyder, Robert M. Bursky
Arbitrator(s): Steven H. Vogel, Jacqueline Stanley Lustig, Stuart W. Smith
Hearing Site: Chicago, IL
| | $0 |
