| 22-01935 | 09/10/2024 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Mark Mappa, Kestra Investment Services
Respondent Lawyers(s): Andrew S. May, Lydia R. Zaidman
Arbitrator(s): Michael S. Matek, Larry Evert Carlson, Richard Michael Stanton
Hearing Site: Chicago, IL
|  | $0 |
| 21-01817 | 03/23/2023 | Claimant(s): Roger Johnson
Claimant Lawyers(s): David Vermont
Respondent(s): Frank Black, Kostas Tsamos, Southeast Investments, N.C..
Respondent Lawyers(s): Alan M. Wolper, Liam O'Brien
Arbitrator(s): Larry Evert Carlson, Marilee Roberg, Howard T. Goffen
Hearing Site: Chicago, IL
| | $0 |
| 20-02755 | 07/01/2021 | Claimant(s): Adam Bramson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Larry Evert Carlson
Hearing Site: Chicago, IL
| | |
| 17-02211 | 11/25/2020 | Claimant(s): The Braeside Foundation
Claimant Lawyers(s): Jacob Kahn
Respondent(s): Carl Birkelbach, Nicholas Avello, Forest Securities.
Respondent Lawyers(s): Christopher Wurtzinger, James J. Moylan, Nicholas Thomas Avello
Arbitrator(s): Larry Evert Carlson, Thomas F. Ryan, Philip J. Glick
Hearing Site: Chicago, IL
| | $405,000 |
| 19-01830 | 11/21/2020 | Claimant(s): Yufang Duan
Claimant Lawyers(s): Michael J. Robins
Respondent(s): Yannan Wang, New City Capital LLC
Respondent Lawyers(s): Mark David Hunter
Arbitrator(s): Larry Evert Carlson, Jacqueline Stanley Lustig, Scott Stauffer
Hearing Site: Chicago, IL
| | Dismissed |
| 20-01299 | 11/20/2020 | Claimant(s): James Ziniel, Joseph Silich
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Larry Evert Carlson
Hearing Site: Chicago, IL
| | |
| 18-00990 | 02/27/2020 | Claimant(s): Yonata Berman
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Andalman, PTI Securities & Futures L. P.
Respondent Lawyers(s): Glenn Seiden, Gregg Rzepczynski
Arbitrator(s): Larry Evert Carlson, Jacqueline Stanley Lustig, Bernadett R DeLise
Hearing Site: Chicago, IL
| | $170,700 |
| 18-02531 | 04/05/2019 | Claimant(s): David Garman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Wall Street Access
Respondent Lawyers(s): Alan S. Brodherson, Denis Patrick Kelleher
Arbitrator(s): Larry Evert Carlson
Hearing Site: Indianapolis, IN
| | |
| 16-03238 | 01/06/2018 | Claimant(s): Est. of Franklin Douglas by its P.R.
Claimant Lawyers(s): David L. Jones
Respondent(s): Fifth Third Securities., Jeremy Schipp
Respondent Lawyers(s): D. Justin Gingerich
Arbitrator(s): Larry Evert Carlson, Paul Lansing, Raymond P. Buschmann
Hearing Site: Indianapolis, IN
| | $0 |
