| 19-02344 | 10/20/2021 | Claimant(s): Mark Berens
Claimant Lawyers(s): Brian E. Martin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Esther Cho
Arbitrator(s): Theresa A Gillerlain, Thomas Michael Genovese, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
|  | $0 |
| 18-03528 | 08/21/2020 | Claimant(s): James Harting Trust
Claimant Lawyers(s): James R. Harting
Respondent(s): Timothy Rice, First Allied Securities., Lakeside Wealth Management Group
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Charles Orlove, Leonard Arthur Nelson, Theresa A Gillerlain
Hearing Site: Chicago, IL
| | $0 |
| 11-03627 | 01/30/2013 | Claimant(s): Alessandrina Deprizio, Carmela DiMare, Florence DiMare, Wilton Manor, Ltd.
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Securities America., Thomas Reynolds
Respondent Lawyers(s): Chad Weaver, Sandor Grossman
Arbitrator(s): Sheldon I. Saitlin, Woodrow A. Sutton, Theresa A Gillerlain
Hearing Site: Chicago, IL
| | Expungement |
| 10-00962 | 03/08/2011 | Claimant(s): Mary Hess, Mary Abbott Hess as TTEE and Beneficiary
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Kathryn Kennedy
Respondent Lawyers(s): Patrick G. King
Arbitrator(s): Ray J. Grzebielski, Theresa A Gillerlain, Jeffrey L. Durkes
Hearing Site: Chicago, IL
| | $0 |
| 08-02472 | 06/03/2009 | Claimant(s): Mary Lou Soldato
Claimant Lawyers(s): David A. Genelly
Respondent(s): Joseph Fabian, FSC Securities Corporation
Respondent Lawyers(s): Jon M. Bylsma, Samuel P. Mauch
Arbitrator(s): Raymond P. Buschmann, Theresa A Gillerlain, Matthew P. Hardy
Hearing Site: Chicago, IL
| | $115,225 |
