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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23-01198 | 09/13/2023 | Claimant(s): Suzanne Oney, Tod Oney Claimant Lawyers(s): Tod Oney Respondent(s): Randall Duggan, Moloney Securities Co.. Respondent Lawyers(s): Matthew D. Turner Arbitrator(s): William J. Bender Hearing Site: Seattle, WA
| | $600 |
21-02592 | 09/13/2023 | Claimant(s): Dawna Grant, Estate of Leatrice Joyce Grant, Leatrice Joyce Grant Living Trust Claimant Lawyers(s): Bryan J. Nowlin Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): John Kincade Arbitrator(s): Nicole T. LeBoeuf, Felicia M. Hamilton, LaCynthia Hurst Hearing Site: Oklahoma City, OK
| | $0 |
20-03268 | 09/13/2023 | Claimant(s): Alistair Capital Management, Alistair Capital Fund, Alistair Capital Partners Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): UBS Securities LLC Respondent Lawyers(s): Tammy L. Roy Arbitrator(s): Dineo Coleman Gary, Mary Elizabeth Skelnik, Demetria Charissee Howard Hearing Site: Dallas, TX
| | $0 |
23-00009 | 09/13/2023 | Claimant(s): Brent Lee, Jennifer Donais Claimant Lawyers(s): Brandon S. Reif Respondent(s): Concorde Investment Services Respondent Lawyers(s): Corporate Office Arbitrator(s): Helen Marinak Blohm, Ramona V. Larson, Kathy A. Tatone Hearing Site: Bismarck, ND
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23-00202 | 09/13/2023 | Claimant(s): Ryan Wold Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Carl E. Ver Beek Hearing Site: Minneapolis, MN
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23-00669 | 09/12/2023 | Claimant(s): Wei Liao Claimant Lawyers(s): Wei Liao Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Jovalin Dedaj Arbitrator(s): Ann C. Northern Hearing Site: New York, NY
| | Denied |
23-00089 | 09/12/2023 | Claimant(s): Jason Millner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Piper Jaffray & Co. Respondent Lawyers(s): Bridget Larsen Arbitrator(s): Helen Marinak Blohm Hearing Site: Bismarck, ND
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22-00728 | 09/12/2023 | Claimant(s): Robert Cappiello Claimant Lawyers(s): Nicholas J. Guiliano Respondent(s): McNally Financial Services Corporation Respondent Lawyers(s): Gary S. Kessler Arbitrator(s): Jacqueline R. Fox, Sherry R. Wetsch, Allan R. Lazor Hearing Site: Houston, TX
| | Expungement |
23-01723 | 09/11/2023 | Claimant(s): Adam Epstein Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J. Gworek Arbitrator(s): Kent L. Benziger Hearing Site: New York, NY
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