| 21-00163 | 07/23/2021 | Claimant(s): Sean Falk
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NT Securities LLC
Respondent Lawyers(s): Larry Nocek
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | |
| 18-03528 | 08/21/2020 | Claimant(s): James Harting Trust
Claimant Lawyers(s): James R. Harting
Respondent(s): Timothy Rice, First Allied Securities., Lakeside Wealth Management Group
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Charles Orlove, Leonard Arthur Nelson, Theresa A Gillerlain
Hearing Site: Chicago, IL
|  | $0 |
| 17-02748 | 01/22/2019 | Claimant(s): Charles Werckenthien
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Casey M. Stevenson
Arbitrator(s): Charles Orlove
Hearing Site: Indianapolis, IN
| | |
| 17-03144 | 10/18/2018 | Claimant(s): Lashel Lentz
Claimant Lawyers(s): Armin Sarabi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Charles Orlove
Hearing Site: Milwaukee, WI
| | |
| 18-00698 | 08/31/2018 | Claimant(s): Mark Birringer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | |
| 17-02034 | 05/22/2018 | Claimant(s): Greg Morelli
Claimant Lawyers(s): John M. Sheldon
Respondent(s): Morgan Stanley & Co., Philipp Weisskopf
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Charles Orlove, Jacqueline Stanley Lustig, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
| 17-00031 | 12/18/2017 | Claimant(s): James McQuinn
Claimant Lawyers(s): James Peter McQuinn
Respondent(s): Alexandra Moran, Ameriprise Financial Services., Jacob Dunlap
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Michael S. Matek, Daniel R. Formeller, Charles Orlove
Hearing Site: Chicago, IL
| | |
| 16-00575 | 04/26/2017 | Claimant(s): Brian Holmes, Michelle Holmes
Claimant Lawyers(s): Joel Levin
Respondent(s): Ralph Derose, Wunderlich Securities.
Respondent Lawyers(s): Mark Griffin
Arbitrator(s): Charles Orlove, James Dale Ellis, Ronald Edward Alexander
Hearing Site: Cleveland, OH
| | $1,044,780 |
| 15-01452 | 12/20/2016 | Claimant(s): Kimberly Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas F. Ryan, Charles Orlove, Michael J. Rappa
Hearing Site: Chicago, IL
| | |
| 15-03092 | 12/09/2016 | Claimant(s): Revocable Trust of Ralph Day
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael L. Lyons, James P. O'Grady, Charles Orlove
Hearing Site: St. Louis, MO
| | Expungement |
