| 22-01691 | 02/02/2024 | Claimant(s): Andreas Klein
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Michael L. Lyons, Susan Finefrock, Ann Marie Hansen
Hearing Site: Columbus, OH
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| 19-02867 | 04/05/2021 | Claimant(s): Michael Reis
Claimant Lawyers(s): Sheilah R. McLaughlin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Michael L. Lyons, Gregory Hunter Mathews, John J. Mager
Hearing Site: Augusta, ME
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| 19-02197 | 01/11/2021 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Michael Naccarato
Respondent(s): John Schmidt
Respondent Lawyers(s): John Greg Schmidt
Arbitrator(s): Michael L. Lyons, Michael J. Meeusen, Scott C. Matasar
Hearing Site: Cincinnati, OH
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| 20-00837 | 12/22/2020 | Claimant(s): Geoffrey McCash
Claimant Lawyers(s): Edward Scott Zusman
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Michael L. Lyons
Hearing Site: Columbus, OH
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| 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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| 16-03516 | 10/12/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Terrence Puricelli
Respondent Lawyers(s): Bryan P. Cavanaugh
Arbitrator(s): Michael L. Lyons, Jonathan B. Gilbert, David E. Bailey
Hearing Site: St. Louis, MO
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| 17-02544 | 11/21/2017 | Claimant(s): Tracy King
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Michael L. Lyons
Hearing Site: Louisville, KY
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| 11-03996 | 02/06/2012 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Richard H. Kuhlman
Respondent(s): Bruce Barnhart, Daun Braswell, Keegan Baygents
Respondent Lawyers(s): Jonathan F. Andres
Arbitrator(s): Paul M. Foster, Michael L. Lyons, Keith E. Mattern
Hearing Site: St. Louis, MO
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