| 21-02478 | 04/08/2022 | Claimant(s): Ranjit Bahadur
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 20-00652 | 02/28/2022 | Claimant(s): James W. Miller, Jr.
Claimant Lawyers(s): Stephen O'Donnell
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC, Nicholas King, Paolo Rocca, Strategic Advisers.
Respondent Lawyers(s): Dochtor Kennedy, Kathryn B. Rockwood
Arbitrator(s): Theodore W. Wrobleski, Philip C. Stahl, James William Hoag
Hearing Site: Chicago, IL
|  | Expungement |
| 17-00361 | 01/10/2022 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): David Morris
Respondent Lawyers(s): David J. Morris
Arbitrator(s): Theodore W. Wrobleski, Jerome K. Rumps, Richard Russell Perlman
Hearing Site: Chicago, IL
| | |
| 20-02902 | 07/19/2021 | Claimant(s): Robert Greulich
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Equitable Life Assurance Society of
Respondent Lawyers(s): Alvin H. Fenichel
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 21-00040 | 07/01/2021 | Claimant(s): Howard Sharfman
Claimant Lawyers(s): Richard M. Goldwasser
Respondent(s): Estate of Thomas E. O'Rourke (deceased)
Respondent Lawyers(s): Michael J. O'Rourke
Arbitrator(s): Theodore W. Wrobleski, Marcia Bonita Gevers, Dennis Christensen
Hearing Site: Chicago, IL
| | Expungement |
| 20-03718 | 06/24/2021 | Claimant(s): Trevor Wurtzebach
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Theodore W. Wrobleski, Susanne J. Hollander, Scott Miller
Hearing Site: Chicago, IL
| | |
| 20-02758 | 05/14/2021 | Claimant(s): Stephen Dissette
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities.
Respondent Lawyers(s): Clive Slovin
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 20-02747 | 03/03/2021 | Claimant(s): Charles Sleezer
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 20-02773 | 12/15/2020 | Claimant(s): Ross Siegel
Claimant Lawyers(s): David I. Hantman
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan Hackbarth
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 20-00746 | 09/29/2020 | Claimant(s): Edward Patzer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
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