| 21-01840 | 01/21/2022 | Claimant(s): Emilie Altman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): McClellon D. Cox
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 16-02825 | 11/05/2021 | Claimant(s): David Hirsch, James Kelly, James Whitney, Mark Hutchinson, Mary DiChristofano, Michael Board, Michael Sakach, Paul Vandenheuvel
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Brian E. Spang
Arbitrator(s): Steven H. Vogel, Leonard Arthur Nelson, Richard Lane Miller
Hearing Site: Chicago, IL
| | |
| 21-01305 | 10/15/2021 | Claimant(s): Joseph Reynolds
Claimant Lawyers(s): Joseph Reynolds
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
|  | $300 |
| 20-02163 | 02/11/2021 | Claimant(s): Scott Smith
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 20-00571 | 10/01/2020 | Claimant(s): Scott Biestek
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Steven H. Vogel
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) |
| 19-01474 | 10/18/2019 | Claimant(s): Al Zvinakis as FPOA for Regina Zvinakis
Claimant Lawyers(s): Al Zvinakis
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | $0 |
| 18-04434 | 08/16/2019 | Claimant(s): Chad Henry
Claimant Lawyers(s): Bryan M. Ward
Respondent(s): Robert W. Baird & Co. Incorporated, Ameriprise Financial Services., Sigma Financial Corporation
Respondent Lawyers(s): Howard M. Klausmeier, Paul Schultz, Randolph F. Pistor
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 16-00767 | 04/05/2018 | Claimant(s): Kirk Hoffman
Claimant Lawyers(s): James Malachy Meaney
Respondent(s): Dieter Huber, National Securities Corporation, Kay Johnson, Kieran Loughran, Mark Goldwasser
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Steven H. Vogel, Stephen W. Mack, Frank A. Dusek
Hearing Site: Chicago, IL
| | Expungement |
| 16-01194 | 07/13/2017 | Claimant(s): Rick Konecny
Claimant Lawyers(s): Rick Douglas Konecny
Respondent(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Steven H. Vogel, Susanne J. Hollander, G. Marshall Abbey
Hearing Site: Chicago, IL
| | |
