| 22-02146 | 05/20/2024 | Claimant(s): The Estate of Adam K. Miller
Claimant Lawyers(s): Kevin Conway
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Edward Baer, William E. Nuckel, Kenneth Paul Williams
Hearing Site: New York, NY
| | |
| 20-04216 | 01/05/2024 | Claimant(s): Kent Bonvillain, Whitney Guidry
Claimant Lawyers(s): Kevin Conway
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Maryanne M. Esser, Chris W. Surprenant, William John Sommers
Hearing Site: New Orleans, LA
|  | $15,000 |
| 14-03372 | 08/30/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John F. Marsh
Respondent(s): Carolyn Kitzel, J.P. Morgan Securities
Respondent Lawyers(s): Christopher S. Griesmeyer, Jack J. Carriglio
Arbitrator(s): Kevin J. Conway, Michael Steinberg, Deberah Singer Bernstein
Hearing Site: Chicago, IL
| | |
| 15-01456 | 05/26/2016 | Claimant(s): Roy Cook
Claimant Lawyers(s): Shomson Moskowitz
Respondent(s): Wolf Financial Management
Respondent Lawyers(s): Natalie Federle
Arbitrator(s): Kevin J. Conway, Lynn Hirschfeld Brahin, Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 12-01353 | 12/13/2013 | Claimant(s): Broadus Oil Corporation
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Jeremy Ftacek, Invest Financial Corporation
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Kevin J. Conway, Lynn Hirschfeld Brahin, Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | Expungement |
| 09-06046 | 05/24/2010 | Claimant(s): Mon Chu
Claimant Lawyers(s): Kevin Conway
Respondent(s): A. B. Watley Direct.
Respondent Lawyers(s): Ralph Armenti
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $25,000 |
