| 22-00491 | 12/04/2023 | Claimant(s): Doris Mctyre
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Amanda Scipione, Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas Michael Genovese, James Reiman, Floyd A Bednarz
Hearing Site: Chicago, IL
| | |
| 22-00307 | 08/31/2023 | Claimant(s): Roxanne Gottlieb
Claimant Lawyers(s): Anthony F. Fata
Respondent(s): Matrix Capital Advisors
Respondent Lawyers(s): John M. O'Bryan
Arbitrator(s): Thomas Michael Genovese, Dianne Marie Onichimowski, Richard Michael Stanton
Hearing Site: Chicago, IL
|  | $0 |
| 21-00034 | 12/15/2022 | Claimant(s): Mark Birringer
Claimant Lawyers(s): John David Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Thomas Michael Genovese, Matthew D Arbit, Robert Joseph Musur
Hearing Site: Chicago, IL
| | |
| 20-01797 | 11/19/2021 | Claimant(s): Raymond San Agustin
Claimant Lawyers(s): Christopher L. Schaeffer
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
| | |
| 21-00340 | 10/26/2021 | Claimant(s): Michael Richardson
Claimant Lawyers(s): Michael A. Richardson
Respondent(s): GTS Securities LLC
Respondent Lawyers(s): Daniel Labovitz
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
| | $0 |
| 19-02344 | 10/20/2021 | Claimant(s): Mark Berens
Claimant Lawyers(s): Brian E. Martin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Esther Cho
Arbitrator(s): Theresa A Gillerlain, Thomas Michael Genovese, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | $0 |
| 20-04151 | 10/06/2021 | Claimant(s): Paul Gorsuch
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Kathleen M. Klein
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
| | $65,000 |
| 18-03626 | 06/26/2019 | Claimant(s): Elias Friedman
Claimant Lawyers(s): Joshua Kons
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
| | |
| 16-00026 | 08/17/2017 | Claimant(s): David Slagter, William Davis
Claimant Lawyers(s): James A. McGurk
Respondent(s): Richard Babjak, World Equity Group.
Respondent Lawyers(s): Matthew C. Boba
Arbitrator(s): John E. Parkes, Irving S. Capitel, Thomas Michael Genovese
Hearing Site: Chicago, IL
| | |
| 14-03769 | 04/19/2016 | Claimant(s): Russell Warner
Claimant Lawyers(s): Neil M. Rosenbaum
Respondent(s): Paul Turner, Turner Financial Services.
Respondent Lawyers(s): Richard M. Hoffman
Arbitrator(s): Lee H. Goodman, Thomas Michael Genovese, Ruth Ann Kubancek
Hearing Site: Chicago, IL
| | |
