24-01196 | 09/26/2024 | Claimant(s): Karan Patel Claimant Lawyers(s): Karan B. Patel Respondent(s): Robinhood Financial. Respondent Lawyers(s): Simeon M. Schopf Arbitrator(s): Gregory G. Gocek Hearing Site: Minneapolis, MN
| | $88 |
23-03103 | 06/27/2024 | Claimant(s): Jamar Evans Claimant Lawyers(s): Jamar Evans Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John E. Bersin Arbitrator(s): Gregory G. Gocek Hearing Site: Indianapolis, IN
| | $0 |
20-02474 | 06/07/2024 | Claimant(s): James Rudwall Claimant Lawyers(s): J. Samuel Tenenbaum Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Michael F. Braun Arbitrator(s): Gregory G. Gocek, Susan L. Walker Hearing Site: Chicago, IL
| | |
22-02854 | 05/24/2024 | Claimant(s): Andrew Channon, David Parker, Joel Meyer, Larry Madsen, Paul Kennedy Claimant Lawyers(s): Brandon Dei Respondent(s): Aegis Capital Corp. Respondent Lawyers(s): Sameer Rastogi Arbitrator(s): Gregory G. Gocek, Henry George Grendell, Michael Jay Teitelbaum Hearing Site: Cleveland, OH
| | $0 |
23-01074 | 05/23/2024 | Claimant(s): Kay Klein, Roy Klein Claimant Lawyers(s): Christopher Lufrano Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Rebecca Swenson Arbitrator(s): Sal Presti, Gregory G. Gocek, Debra J. Tucker Hearing Site: Chicago, IL
| | Expungement |
23-01455 | 03/15/2024 | Claimant(s): Michael Steffens Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Park Avenue Securities LLC Respondent Lawyers(s): Shabbir Chaudhury Arbitrator(s): Gregory G. Gocek Hearing Site: Milwaukee, WI
| | |
23-01318 | 11/29/2023 | Claimant(s): Michael Stewart Claimant Lawyers(s): Harris Freedman Respondent(s): Fifth Third Securities. Respondent Lawyers(s): R. Samuel Gilley Arbitrator(s): Gregory G. Gocek Hearing Site: Chicago, IL
| | |
21-02288 | 09/13/2023 | Claimant(s): John Baccich, Kevin Gaddi, Robert Gaddi, Steven Finnk Claimant Lawyers(s): Bruce Lewitas Respondent(s): Mesirow Financial. Respondent Lawyers(s): James L. Kopecky Arbitrator(s): Michael S. Matek, Gregory G. Gocek, William Popper Hearing Site: Chicago, IL
| | |
22-01678 | 03/31/2023 | Claimant(s): Dennis Thurman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Gregory G. Gocek Hearing Site: Omaha, NE
| | |
22-01650 | 02/09/2023 | Claimant(s): Russell Mcalonie Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC, MML Investors Services Respondent Lawyers(s): Julie E. Ravis, Sara B. Davis Arbitrator(s): Gregory G. Gocek Hearing Site: Cleveland, OH
| | |