| 18-03007 | 10/24/2019 | Claimant(s): William Blair & Company L.L.C.
Claimant Lawyers(s): Gary I. Blackman
Respondent(s): Ajay Thomas
Respondent Lawyers(s): Clay Hartmann
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 18-04418 | 10/03/2019 | Claimant(s): Marc Jacobson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Equitable Life Assurance Society Of
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 19-00146 | 09/09/2019 | Claimant(s): Michael Rhodes
Claimant Lawyers(s): Michael Bessette
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 18-04330 | 08/16/2019 | Claimant(s): Roy Strong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CFD Investments.
Respondent Lawyers(s): Matthew Bahrenburg
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
| | |
| 18-02535 | 07/29/2019 | Claimant(s): Michael Haas
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Thomas Carroll, Summit Investment Management, LTD.
Respondent Lawyers(s): Brandon Gutschow
Arbitrator(s): Jerry D. McCormack, Lynn Hirschfeld Brahin, Jessica Gibson
Hearing Site: Milwaukee, WI
|  | $100,000 |
| 18-04105 | 07/05/2019 | Claimant(s): Mary Jo Hayes
Claimant Lawyers(s): Howard Rosenburg
Respondent(s): Chicago Investment Group
Respondent Lawyers(s): Mary Jo Hayes, CCO
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 18-01379 | 05/29/2019 | Claimant(s): Alma Miller, Rondel Miller
Claimant Lawyers(s): Vonne L. Karraker
Respondent(s): Ray Reese, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert J. Scafuri, Julius Z. Frager, Lynn Hirschfeld Brahin
Hearing Site: St. Louis, MO
| | Expungement |
| 18-01174 | 05/08/2019 | Claimant(s): Timothy Schmadeke
Claimant Lawyers(s): Dennis G. Peatrowsky
Respondent(s): David Means, MML Investors Services
Respondent Lawyers(s): J. David Jackson, William P. Thornton
Arbitrator(s): Lynn Hirschfeld Brahin, John R. Loss, Steven Michael Vokal
Hearing Site: Omaha, NE
| | |
| 18-00468 | 12/17/2018 | Claimant(s): David Skutnik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameritas Investment Corp.
Respondent Lawyers(s): David Williams
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Omaha, NE
| | |
| 17-01401 | 11/07/2018 | Claimant(s): Margo Norman
Claimant Lawyers(s): Jonathan Stein
Respondent(s): Jack Woodward, Raymond, James & Associates.
Respondent Lawyers(s): Bertrand C. Moser, Gianluca Morello
Arbitrator(s): Jo-Marie Lisa, Lynn Hirschfeld Brahin
Hearing Site: Denver, CO
| | Expungement |
