| 14-02170 | 01/29/2019 | Claimant(s): John Fichera, John Hoidas, Lawrence Doody
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): William Vellon, Kingsbury Capital LLC, Spencer Trask Ventures.
Respondent Lawyers(s): Barry M. Bordetsky, Nicholas P. Iavarone
Arbitrator(s): Michael S. Matek, Thomas F. Ryan, Michael Nathanson
Hearing Site: Chicago, IL
| | |
| 18-00247 | 11/16/2018 | Claimant(s): Edward Fox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirde Wolff
Arbitrator(s): Michael S. Matek
Hearing Site: Milwaukee, WI
| | |
| 16-03687 | 06/04/2018 | Claimant(s): Robert Dekas
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Michael S. Matek, Anthony P. Pecora, Richard A. Berman
Hearing Site: Chicago, IL
|  | $800,000 |
| 17-02758 | 05/18/2018 | Claimant(s): Paul Garrett
Claimant Lawyers(s): Daniel B. Meyer
Respondent(s): Elaine Andreas, Lamoine Andreas
Respondent Lawyers(s): Lamoine (Lee) Andreas
Arbitrator(s): Michael S. Matek, William A. Stephenson, Eileen Joan Carpenter
Hearing Site: Denver, CO
| | Expungement |
| 17-02044 | 04/05/2018 | Claimant(s): James Garner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Michael S. Matek
Hearing Site: Denver, CO
| | |
| 16-02100 | 03/22/2018 | Claimant(s): James Mirgliotta, The Estate of Bette Mirgliotta
Claimant Lawyers(s): Robert J. Dubyak
Respondent(s): Christopher Cervino, Larry Werbel, Wilson-Davis & Company.
Respondent Lawyers(s): Christopher Michael Cervino, Larry Steven Werbel, Mark O. Van Wagoner
Arbitrator(s): Michael S. Matek, Robert M Lustig, Kevin Brodar
Hearing Site: Cleveland, OH
| | $845,000 |
| 17-00031 | 12/18/2017 | Claimant(s): James McQuinn
Claimant Lawyers(s): James Peter McQuinn
Respondent(s): Alexandra Moran, Ameriprise Financial Services., Jacob Dunlap
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Michael S. Matek, Daniel R. Formeller, Charles Orlove
Hearing Site: Chicago, IL
| | |
| 16-02235 | 10/16/2017 | Claimant(s): Helen Luca, Robert McCluskey
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Christine Mallul, David A. Noyes & Company
Respondent Lawyers(s): Christine Catherine Mallul, Robert L. Cram
Arbitrator(s): Michael S. Matek, Leonard Arthur Nelson, Bradley Howard Wulfsohn
Hearing Site: Chicago, IL
| | $0 |
| 13-02544 | 07/12/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Rick Konecny
Respondent Lawyers(s): Rick Douglas Konecny
Arbitrator(s): Michael S. Matek, Michael F. Jordan, Craig D. Cook
Hearing Site: Chicago, IL
| | |
| 15-03367 | 06/06/2017 | Claimant(s): John Ebersole, Patti Ebersole
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Michael S. Matek, Kevin R. Zehe, Ronnie Lou Marquez-Posey
Hearing Site: Cleveland, OH
| | Stipulated Award |
