| 21-00267 | 05/19/2023 | Claimant(s): The Huntington Investment Company
Claimant Lawyers(s): Kevin Murch
Respondent(s): Morgan Stanley, Frank Nobile, James Riepenhoff
Respondent Lawyers(s): Jonathan C. Thau, Miles D. Hart
Arbitrator(s): Emily J. Lewis, Nelson E. Genshaft, Susan Finefrock
Hearing Site: Columbus, OH
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| 13-02625 | 04/08/2016 | Claimant(s): David Gilg
Claimant Lawyers(s): James J. Eccleston
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Emily J. Lewis, Richard Charles Miller, Phillip Lawrence Wright
Hearing Site: Columbus, OH
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| 15-02145 | 01/28/2016 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Steven Condit
Respondent Lawyers(s): Steven Bartlett Condit
Arbitrator(s): Emily J. Lewis
Hearing Site: Cincinnati, OH
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| 12-00916 | 11/26/2012 | Claimant(s): The Huntington Investment Company
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Kevin Stryker
Respondent Lawyers(s): Kevin Alston Stryker
Arbitrator(s): Emily J. Lewis
Hearing Site: Columbus, OH
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| 11-00501 | 10/19/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nicoli Grove
Respondent Lawyers(s): Kathleen A. DeLaney
Arbitrator(s): Joseph L. Claypool, Emily J. Lewis, John Andrew Wagner
Hearing Site: Indianapolis, IN
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| 12-00541 | 06/27/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Michael O'Donnell
Respondent Lawyers(s): Michael Joseph O'Donnell
Arbitrator(s): Emily J. Lewis
Hearing Site: Pittsburgh, PA
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| 10-03275 | 04/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan Weinreich
Respondent(s): Grant Mellon
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Emily J. Lewis
Hearing Site: Pittsburgh, PA
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| 09-01374 | 11/29/2010 | Claimant(s): Zachary Sech
Claimant Lawyers(s): George M. Reul
Respondent(s): David Singer, Joseph Evelo, UBS Financial Services Inc., Linnell Sullivan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi, James L. Komie, Russell S. Sayre
Arbitrator(s): Emily J. Lewis, Regina F. Burch, A. Brian McIntosh
Hearing Site: Cincinnati, OH
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| 10-01781 | 07/01/2010 | Claimant(s): Fidelity Brokerage Services LLC, FMR LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Andrew Hermes, Steven O'connor, William Doepker
Respondent Lawyers(s): Grant S. Cowan
Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Miles D. Hart
Hearing Site: Cincinnati, OH
| | |
| 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 |
