| 19-02660 | 05/05/2020 | Claimant(s): Paul Larson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Sean O'Hanlon
Arbitrator(s): Michael S. Matek
Hearing Site: St. Louis, MO
| | |
| 19-01623 | 04/24/2020 | Claimant(s): Eric Raether
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Michael S. Matek
Hearing Site: Milwaukee, WI
| | |
| 19-03003 | 03/12/2020 | Claimant(s): tastyworks.
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Syed Ali
Respondent Lawyers(s): Syed Ali
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
|  | Dismissed |
| 19-02077 | 02/07/2020 | Claimant(s): Michael O'Reilly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Ronald T. Klimas, Compliance Director
Arbitrator(s): Michael S. Matek
Hearing Site: St. Louis, MO
| | |
| 18-02333 | 12/09/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Beau Pollard, Jason Baer
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Michael S. Matek, Ilene T. Gormly, Margaret Ann Barrington
Hearing Site: Denver, CO
| | |
| 19-00360 | 11/20/2019 | Claimant(s): Thomas Mullooly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas Cahill
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | |
| 19-01027 | 11/01/2019 | Claimant(s): Matthew Lemke
Claimant Lawyers(s): John A. Dienner
Respondent(s): Karen Cwichon
Respondent Lawyers(s): Karen M. Cwichon
Arbitrator(s): Michael S. Matek, Theodore W. Wrobleski, Leon Fox
Hearing Site: Chicago, IL
| | Expungement |
| 18-04335 | 08/08/2019 | Claimant(s): Mark Rottler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Michael S. Matek
Hearing Site: Milwaukee, WI
| | |
| 17-02855 | 05/30/2019 | Claimant(s): Donald L. and Beverly C. Hamill
Claimant Lawyers(s): Donald Hamill
Respondent(s): David Harris, Doris Burr, Gregory Shea, Harry Peters, Joseph Hooper, Justin Burr, Kevin Cline, Robert Burr, Russell Newton, Stephen Larkin, Blue Ridge Group., Source Capital Group.
Respondent Lawyers(s): Company President, David Webster Harris, David Harris, Doris R. Burr, Harry Peters, Michael A. Valenti, Russell William Newton, Stephen Carl Larkin, Travis Creed
Arbitrator(s): Michael S. Matek, Mark S. Foster, Michael D. Fitzgerald
Hearing Site: Omaha, NE
| | $0 |
| 18-02222 | 05/03/2019 | Claimant(s): James Allen
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | |
