| 23-00526 | 06/07/2024 | Claimant(s): Kurt Cichy, Michelle Cichy
Claimant Lawyers(s): David Meyer
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Charles D. Hays, Raymond P. Buschmann, Timothy Schoewe
Hearing Site: Milwaukee, WI
|  | $0 |
| 20-02474 | 06/07/2024 | Claimant(s): James Rudwall
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael F. Braun
Arbitrator(s): Gregory G. Gocek, Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 23-01122 | 06/07/2024 | Claimant(s): William Straub
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
| | |
| 22-01890 | 06/07/2024 | Claimant(s): The Revocable Trust of Declan P. Doogan
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Brian A. Briz
Arbitrator(s): Peter Shapiro, Lisa Jane Austein, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
| | $0 |
| 23-02904 | 06/07/2024 | Claimant(s): Roberto Costa
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kalie M. Maniglia
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
| | |
| 23-01321 | 06/07/2024 | Claimant(s): James Lineweaver
Claimant Lawyers(s): Gerry Kowalski
Respondent(s): Triad Advisors LLC, Sigma Financial Corporation
Respondent Lawyers(s): Amir Tadjedin, Jennifer R. Cox
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
| | |
| 23-02771 | 06/07/2024 | Claimant(s): Kent Fitzpatrick
Claimant Lawyers(s): Brian Luther
Respondent(s): NFP Securities.
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Stephen James McLaughlin
Hearing Site: Boston, MA
| | |
| 22-02737 | 06/06/2024 | Claimant(s): Rosenau Family Research Foundation
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Jeffrey W. Jacobs, Leo G. Stern, Joseph Darwin Kenyon
Hearing Site: Minneapolis, MN
| | $7,342,000 |
| 23-02856 | 06/05/2024 | Claimant(s): Gary Borowiec
Claimant Lawyers(s): Alex Padla
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Daniela Paez
Arbitrator(s): Alice E. Winkler
Hearing Site: Jersey City, NJ
| | |
| 23-01396 | 06/05/2024 | Claimant(s): Charles L. Roberts Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | Expungement |
