| 18-01990 | 03/12/2019 | Claimant(s): Robert Coleman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
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| 17-03220 | 01/09/2019 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A Pickett
Respondent(s): Jay Slouffman, Prospera Financial Services.
Respondent Lawyers(s): John Alten
Arbitrator(s): Stephen P. Calardo, A. Brian McIntosh, David S. Blessing
Hearing Site: Cincinnati, OH
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| 18-00145 | 08/07/2018 | Claimant(s): Ashley Katt
Claimant Lawyers(s): Robert A. Klingler
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell Ahnert
Arbitrator(s): David F. Barrett
Hearing Site: Cincinnati, OH
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| 17-02982 | 07/31/2018 | Claimant(s): Shaun Nicholson
Claimant Lawyers(s): Owen Harnett
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Julius Z. Frager
Hearing Site: Cincinnati, OH
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| 17-03143 | 05/21/2018 | Claimant(s): Thomas Lieser
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Stephen P. Calardo
Hearing Site: Cincinnati, OH
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| 17-01943 | 04/25/2018 | Claimant(s): Stephen Fish
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments LLC
Respondent Lawyers(s): Raymond M. Ripple
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
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| 17-01602 | 09/19/2017 | Claimant(s): Leonard Kichler
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
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| 16-00600 | 04/28/2017 | Claimant(s): Randall Fath
Claimant Lawyers(s): Randall E. Fath
Respondent(s): OneAmerica Securities.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John F. Burns, Gerald W. Hepp, Peter Brooker
Hearing Site: Cincinnati, OH
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| 15-03019 | 05/09/2016 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): David Glick
Respondent Lawyers(s): David M. Glick
Arbitrator(s): Randall S. Strause
Hearing Site: Cincinnati, OH
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| 15-01341 | 04/04/2016 | Claimant(s): Ashlee Willis
Claimant Lawyers(s): Ashlee Willis
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Corey N. Thrush
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cincinnati, OH
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