| 16-03491 | 08/29/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Travis Chapin
Respondent(s): Michael Mawby
Respondent Lawyers(s): Steve Wasserman
Arbitrator(s): Tracy L. Allen, Stephen M. Bales, David Rosenblum Cohen
Hearing Site: Cleveland, OH
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| 18-00739 | 05/18/2018 | Claimant(s): Owen McBride
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Gregory G. Gocek
Hearing Site: Cleveland, OH
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| 18-00740 | 04/27/2018 | Claimant(s): Chad Hartup, William Murphy
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Susan L. Walker
Hearing Site: Cleveland, OH
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| 15-02006 | 12/01/2017 | Claimant(s): Matt Summerville
Claimant Lawyers(s): James W. Halter
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Jeffrey M. Bain, David M. Panko, David Rosenblum Cohen
Hearing Site: Cleveland, OH
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| 16-03416 | 03/01/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Thomas P. Dillon
Respondent(s): Erik Kneip
Respondent Lawyers(s): Erick Robert Kneip
Arbitrator(s): Michael J. Meeusen
Hearing Site: Cleveland, OH
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| 15-02017 | 01/20/2017 | Claimant(s): Abed Darwish
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Jeffrey M. Bain, Michael S. Jordan, Douglas Lucera Alder
Hearing Site: Cleveland, OH
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| 15-01071 | 09/02/2016 | Claimant(s): John Gross
Claimant Lawyers(s): Michael J. Elliott
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary J. Lieberman
Arbitrator(s): Marianne L. Simpson, John C. Aten, Gary Lee Ainley
Hearing Site: Cleveland, OH
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| 15-01052 | 08/10/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Leonard Stover
Respondent Lawyers(s): Leonard Gregory Stover
Arbitrator(s): John C. Aten
Hearing Site: Cleveland, OH
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| 13-02870 | 04/24/2015 | Claimant(s): Ignacio Covarrubias
Claimant Lawyers(s): Ignacio Covarrubias
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Gregory P. Szuter, Daniel G. Zeiser, Harvey Michael Rosenberg
Hearing Site: Cleveland, OH
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| 13-02062 | 03/10/2015 | Claimant(s): Brian Lehner
Claimant Lawyers(s): Brian J Laliberte
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Richard W. Dissen, Mary K. Flask, Dieter Domanovic
Hearing Site: Cleveland, OH
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