| 15-00283 | 07/17/2017 | Claimant(s): Mark Farwell
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): LPL Financial LLC, Robert Kennedy, Spencer Lewis, Summer Pretzer, Thomas Estridge
Respondent Lawyers(s): David Baugh
Arbitrator(s): Rody P. Biggert, Laura M. Nelson, Michael Cotter Greenfield
Hearing Site: Chicago, IL
| | |
| 16-03333 | 06/07/2017 | Claimant(s): Christopher Ort
Claimant Lawyers(s): Christopher J. Ort
Respondent(s): Daniel Weninger
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Rody P. Biggert
Hearing Site: Milwaukee, WI
|  | Expungement |
| 15-02089 | 05/25/2017 | Claimant(s): Dickie Moritz, Phyllis A. Mortiz Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors, Summit Brokerage Services.
Respondent Lawyers(s): Alan S. Rafterman, John W. Shaw
Arbitrator(s): Michael D. Fitzgerald, Rody P. Biggert, Lawrence R. Rute
Hearing Site: Kansas City, MO
| | Expungement |
| 15-01290 | 12/16/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Neal Alster
Respondent Lawyers(s): Neal Evan Alster
Arbitrator(s): Rody P. Biggert
Hearing Site: St. Louis, MO
| | |
| 15-01142 | 07/14/2016 | Claimant(s): Jacob Derrig
Claimant Lawyers(s): James J. Moylan
Respondent(s): Jackson National Life Distributors LLC
Respondent Lawyers(s): William R. Schulz
Arbitrator(s): Edward F. Altman, Rody P. Biggert
Hearing Site: Denver, CO
| | |
| 15-02590 | 06/06/2016 | Claimant(s): Arline Schaubach
Claimant Lawyers(s): Nicole Iannarone
Respondent(s): Tim Gerds, U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Rody P. Biggert
Hearing Site: Milwaukee, WI
| | $5,200 |
| 15-01416 | 05/17/2016 | Claimant(s): Greg Wampler
Claimant Lawyers(s): Jennifer L Tarr
Respondent(s): John Lowry, Joseph Ilg, Kim Monchik, Robert Murray, Spartan Capital Securities
Respondent Lawyers(s): Harry Delagrammatikas
Arbitrator(s): Rody P. Biggert
Hearing Site: Indianapolis, IN
| | $0 |
| 12-00554 | 05/12/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Wells Fargo Advisors, David Kinnear
Respondent Lawyers(s): Gary I. Blackman
Arbitrator(s): G. Gale Roberson, Robert J. Larson, Rody P. Biggert
Hearing Site: Chicago, IL
| | |
| 13-02089 | 12/04/2014 | Claimant(s): Mary Osborne
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Rody P. Biggert
Hearing Site: Chicago, IL
| | Expungement |
| 12-03494 | 08/19/2014 | Claimant(s): Craig Urban
Claimant Lawyers(s): Craig B. Urban
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Anna Wermuth
Arbitrator(s): Rody P. Biggert, Raymond P. Buschmann, Harvey R. Herman
Hearing Site: Chicago, IL
| | |
