| 14-00286 | 03/03/2015 | Claimant(s): Jon Arnold
Claimant Lawyers(s): Douglas R. Jennings
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): C. Robert Rittberger, Amy L. Wachs, Kevin Brodar
Hearing Site: Cleveland, OH
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| 11-03113 | 12/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee, Samuel P. Mauch
Respondent(s): Laurie Facsina
Respondent Lawyers(s): Laurie Fascina
Arbitrator(s): Thomas R. Skulina, Robert H. Baker, Dennis S. Medica, CPA
Hearing Site: Cleveland, OH
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| 13-02646 | 11/11/2014 | Claimant(s): Jonathan Brofford
Claimant Lawyers(s): Jonathan D. Brofford
Respondent(s): Colin Lewis, Jeffrey Suhanic, Kenneth Duncan, PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Jay S. Ferrier, Richard W. Dissen, Gary Lee Ainley
Hearing Site: Cleveland, OH
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| 14-01320 | 09/19/2014 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Franklin S. Bennett
Respondent(s): Patrick Hudec
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Gary B. Deutsch
Hearing Site: Cleveland, OH
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| 13-01102 | 07/16/2014 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne Yannakakis
Respondent(s): Craig Wiggins
Respondent Lawyers(s): David Bertsch
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cleveland, OH
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| 13-00584 | 05/21/2014 | Claimant(s): Jeffrey Boyle, William Areklett, Paracap Group LLC, Paragon Capital Group LLC
Claimant Lawyers(s): Scott C. Matasar
Respondent(s): Charles Crowley, Christopher Chapman, Michael Voinovich, Steven Weigand, Boenning & Scattergood.
Respondent Lawyers(s): Brett S. Krantz, Philip G. Kircher
Arbitrator(s): Thomas H. Barnard, Marianne L. Simpson, Eileen B. Vernon
Hearing Site: Cleveland, OH
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| 13-00302 | 03/18/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Douglas Lamb
Respondent Lawyers(s): Edgar H. Boles
Arbitrator(s): Terrence Patrick McHugh, John T. Meredith, Brett Steven Krantz
Hearing Site: Cleveland, OH
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| 13-01224 | 10/25/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Andrew J. Dorman
Respondent(s): Richard Sandru
Respondent Lawyers(s): Richard Patrick Sandru
Arbitrator(s): John W. Eichleay
Hearing Site: Cleveland, OH
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| 13-01192 | 09/23/2013 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): Wendy L. Schueller
Respondent(s): Gary Wright
Respondent Lawyers(s): Gary Lee Wright
Arbitrator(s): John C. Aten
Hearing Site: Cleveland, OH
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| 13-01002 | 06/03/2013 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David Belcher
Respondent(s): Fifth Third Securities., Nathan Bartow
Respondent Lawyers(s): Edmond J. Mack, Marion H. Little
Arbitrator(s): Jason C. Blackford, Mitchell B. Goldberg, James E. Zimmerman
Hearing Site: Cleveland, OH
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