| 21-01282 | 11/15/2021 | Claimant(s): Kathleen Marfiz
Claimant Lawyers(s): Kathleen M. Marfiz
Respondent(s): Isaac Wales
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Minneapolis, MN
|  | $300 |
| 20-02176 | 10/18/2021 | Claimant(s): Justin Murphy
Claimant Lawyers(s): Gary R. Irwin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Larry N. Litt, Jonathan B. Gilbert, Ansis Viksnins
Hearing Site: Minneapolis, MN
| | |
| 20-03577 | 06/22/2021 | Claimant(s): Robert Caswell
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Lawrence Fawcett
Respondent Lawyers(s): Lawrence John Fawcett
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Des Moines, IA
| | $0 |
| 20-03743 | 04/05/2021 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): H. Beck.
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Jeffry M. Bauer, Mark L Miller, Jonathan B. Gilbert
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206 |
| 20-02528 | 12/11/2020 | Claimant(s): Manohar Khatri
Claimant Lawyers(s): Dana Gloor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Milwaukee, WI
| | |
| 20-01601 | 11/06/2020 | Claimant(s): Jennifer Lattanzio
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Chase Investment Services Corp., Citizens Securities.
Respondent Lawyers(s): Adam R. Bennett, Brenna Anatone Force
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Cleveland, OH
| | |
| 19-01305 | 10/21/2020 | Claimant(s): Margaret McDonnell, Michael McDonnell, Madeline R. Stierwalt
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): Ray J. Grzebielski, Jonathan B. Gilbert, Edward Louis Koven
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
| 20-00041 | 06/04/2020 | Claimant(s): Bernard Elkon, Sallie Burn
Claimant Lawyers(s): Bernard Peter Elkon, Sallie D. Burn
Respondent(s): David Miller, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Denver, CO
| | $300 |
| 19-02837 | 02/24/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Jeffrey Hill
Respondent Lawyers(s): Jeffrey Alan Hill
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Minneapolis, MN
| | |
| 18-01282 | 01/10/2020 | Claimant(s): Kristin Anderson
Claimant Lawyers(s): Morgan D. Schut
Respondent(s): Edward Jones
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | |
