| 19-02027 | 01/10/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jessica Klein
Respondent(s): James Johnson
Respondent Lawyers(s): James E. Johnson
Arbitrator(s): Michael L. Lyons
Hearing Site: Columbus, OH
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| 18-00329 | 08/06/2019 | Claimant(s): Branda Allen, David Meske, John Riley, Joshua Allen, Philip Susi, Robert Mitchell
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Securities America.
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Gregory Hunter Mathews, Sarah R. Cole, Randolph Carson Wiseman
Hearing Site: Columbus, OH
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| 17-02649 | 02/13/2018 | Claimant(s): Eric Seyboldt
Claimant Lawyers(s): Eric Seyboldt
Respondent(s): Nationwide Securities
Respondent Lawyers(s): Ali I. Haque
Arbitrator(s): Mark A. Sipper
Hearing Site: Columbus, OH
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| 12-03200 | 08/30/2017 | Claimant(s): John Bach, Michael Fink
Claimant Lawyers(s): Elliot R. Good, Will Bach
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Michael Ungar
Arbitrator(s): Benjamin B. Segel, Susan K. Hollenbach, W. Sean Kelleher
Hearing Site: Columbus, OH
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| 16-03662 | 07/31/2017 | Claimant(s): Traci Born
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Erick R. Zanner, Lynn Hirschfeld Brahin, Nelson E. Genshaft
Hearing Site: Columbus, OH
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| 14-03253 | 05/09/2017 | Claimant(s): Fredric Rothermich
Claimant Lawyers(s): Christopher J. Hogan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Harlita R. Tomlinson, Erick R. Zanner, Sandra M. Furman
Hearing Site: Columbus, OH
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| 16-02728 | 04/20/2017 | Claimant(s): Matthew Jehn
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): WRP Investments., Wellstone Securities
Respondent Lawyers(s): Raymond Noragon, CCO, William R. Pintaric, Jr., VP
Arbitrator(s): Julius Z. Frager, Christy K. Radigan, W Charles Curley
Hearing Site: Columbus, OH
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| 14-02135 | 10/07/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): James Dickey
Respondent Lawyers(s): James Dickey
Arbitrator(s): Erick R. Zanner, Kevin R. Zehe, Robert L. Washburn
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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| 15-01601 | 02/01/2016 | Claimant(s): Raymond Klosz, Traci Born
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Lynn Hirschfeld Brahin, George H. Perich, W Charles Curley
Hearing Site: Columbus, OH
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