| 09-02809 | 10/19/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Michael Wheatley
Respondent Lawyers(s): Michael J. Wheatley
Arbitrator(s): Patrick J. Burley
Hearing Site: Cincinnati, OH
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| 07-03076 | 10/01/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): M. Barker
Respondent Lawyers(s): Tracy Barker
Arbitrator(s): James Clifton Stone, Peter L. Pointer, John C. Schenkenfelder
Hearing Site: Cincinnati, OH
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| 08-02881 | 06/30/2009 | Claimant(s): Carlos Reisen
Claimant Lawyers(s): William A. Healy
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Philip C. Johnston, Alex H. Keller, Marilyn R. Rathbun
Hearing Site: Cincinnati, OH
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| 08-00620 | 03/10/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Kopeck
Respondent Lawyers(s): Susan M. Guerette
Arbitrator(s): John B. Glueckert, Patrick J. Burley, Stanley Kenneth Evans
Hearing Site: Cincinnati, OH
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| 08-00980 | 12/19/2008 | Claimant(s): Eddie Miller
Claimant Lawyers(s): Kenneth W. Scott
Respondent(s): Donna Haynes, James Popp, Sally Weinkam, Susan Meyers, PNC Investments
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Lawrence Reginald Wagner, Gary P. Price, Jan M. West
Hearing Site: Cincinnati, OH
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| 07-03545 | 10/17/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Joshua Fortin
Respondent Lawyers(s): Joshua Standish Fortin
Arbitrator(s): Robert P. Fogarty, Patrick J. Burley, Daniel R. LaMacchia
Hearing Site: Cincinnati, OH
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| 08-01162 | 09/22/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Thomas Hodges
Respondent Lawyers(s): Thomas S. Hodges
Arbitrator(s): Emily J. Lewis, John B. Glueckert, Jo Ann Numbers
Hearing Site: Cincinnati, OH
| | Stipulated Award |
| 07-02280 | 09/10/2008 | Claimant(s): Charles Kromer
Claimant Lawyers(s): Megan Clark
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Charles D. Underwood, Debora A. Caley, Christy K. Radigan
Hearing Site: Cincinnati, OH
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| 07-01821 | 04/16/2008 | Claimant(s): Dawne Ferland
Claimant Lawyers(s): Theresa M. Mohan
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nancy Anderson Tayborn
Arbitrator(s): Bill Swinford, Christy C. Walker, Debora A. Caley
Hearing Site: Cincinnati, OH
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| 07-02115 | 03/14/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher J. Carney
Respondent(s): William Hamilton
Respondent Lawyers(s): William Joseph Hamilton
Arbitrator(s): Monette E. Draper, Gary R. Miles, Barbara E. Dixon
Hearing Site: Cincinnati, OH
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