| 23-02758 | 06/28/2024 | Claimant(s): Raquel Pacheco
Claimant Lawyers(s): Daniel J. Donovan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Michael S. Matek
Hearing Site: Cleveland, OH
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| 23-01961 | 03/15/2024 | Claimant(s): Mark Kennedy
Claimant Lawyers(s): Debra A Jenks
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael S. Matek
Hearing Site: Denver, CO
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| 23-03066 | 02/22/2024 | Claimant(s): Hiive Markets Limited
Claimant Lawyers(s): Marc M. Yenicag
Respondent(s): Ethelbert Williams
Respondent Lawyers(s): Ethelbert Williams
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
|  | $0 |
| 23-01735 | 12/21/2023 | Claimant(s): Craig Splan
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Michael S. Matek
Hearing Site: Kansas City, MO
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| 21-00982 | 12/07/2023 | Claimant(s): Dania Sepahrokh, Jerome Menig, Renee Vonalmen, Saurin Patel, Tamaira Suwanski
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Randall M. Lending
Arbitrator(s): Michael S. Matek, Ann Hagerty, Robert F Hogan
Hearing Site: Chicago, IL
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| 20-01481 | 11/09/2023 | Claimant(s): Marc Broncucia
Claimant Lawyers(s): Paul Vorndran
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Alyson Terrell
Arbitrator(s): Michael S. Matek, Steven Meyrich, Mari C. Bush
Hearing Site: Denver, CO
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| 22-02465 | 10/13/2023 | Claimant(s): Flavius Sindile
Claimant Lawyers(s): Andrew S. May
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. Vonderheide
Arbitrator(s): Michael S. Matek, Michael R. Sherwin, Andreanna A. Leon
Hearing Site: Chicago, IL
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| 23-01269 | 09/22/2023 | Claimant(s): Calena Terry
Claimant Lawyers(s): Calena Terry
Respondent(s): Truist Investment Services., Paula Allen
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
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| 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
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| 12-02144 | 08/11/2023 | Claimant(s): John Dietz, Luis Pernia, Estate of William V. Johnson, Bocagrande Trust, Pienza Trust, dissolved Pernia Family Trust
Claimant Lawyers(s): Victor J. Pioli
Respondent(s): Loria Financial Group, MPS-Loria Financial Planners, RIM Securities LLC, Rochdale Investment Management, Rochdale Offshore Management
Respondent Lawyers(s): Jose A. Lopez, Nicholas P. Iavarone, Ronald P. Kane
Arbitrator(s): Michael S. Matek, Susan L. Walker, Yana Karnaukhov
Hearing Site: Chicago, IL
| | $0 |
