21-02938 | 06/09/2022 | Claimant(s): Kenneth Wise Claimant Lawyers(s): Anthony J. Borrelli Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charlotte S. Wolfe Arbitrator(s): Joseph Edelstein, William M. Azkoul, John C. Aten Hearing Site: Cleveland, OH
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20-02117 | 01/15/2021 | Claimant(s): Timothy Lofton Claimant Lawyers(s): Brian Luther Respondent(s): Wells Fargo Advisors Financial Network, UBS Financial Services Inc. Respondent Lawyers(s): Deirdre Wolff, Omar Perez Arbitrator(s): John C. Aten Hearing Site: Cincinnati, OH
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15-01071 | 09/02/2016 | Claimant(s): John Gross Claimant Lawyers(s): Michael J. Elliott Respondent(s): PNC Investments Respondent Lawyers(s): Gary J. Lieberman Arbitrator(s): Marianne L. Simpson, John C. Aten, Gary Lee Ainley Hearing Site: Cleveland, OH
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15-01052 | 08/10/2016 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Scott A. La Porta Respondent(s): Leonard Stover Respondent Lawyers(s): Leonard Gregory Stover Arbitrator(s): John C. Aten Hearing Site: Cleveland, OH
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13-02309 | 04/14/2015 | Claimant(s): Carter Garnon Claimant Lawyers(s): Adam P Richards Respondent(s): NYLife Securities LLC, Thomas Krach, New York Life Insurance Company, New York Life Insurance and Annuity Comp Respondent Lawyers(s): David K. Montgomery Arbitrator(s): Charles D. Underwood, John C. Aten, Matthew Harold Fields Hearing Site: Columbus, OH
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13-01192 | 09/23/2013 | Claimant(s): Robert W. Baird & Co. Incorporated Claimant Lawyers(s): Wendy L. Schueller Respondent(s): Gary Wright Respondent Lawyers(s): Gary Lee Wright Arbitrator(s): John C. Aten Hearing Site: Cleveland, OH
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07-01543 | 07/31/2009 | Claimant(s): Eugene Marquardt Claimant Lawyers(s): David W. Neel Respondent(s): Brian Brennan, John Schlifer, Patricia Wyant, KeyBanc Capital Markets., KeyCorp Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): James Dale Ellis, Robert M. Shwab, John C. Aten Hearing Site: Cleveland, OH
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