| 20-03000 | 06/11/2021 | Claimant(s): Michael Maroni
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
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| 20-02295 | 12/22/2020 | Claimant(s): Jeffrey McCabe
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W, Brooks
Arbitrator(s): Gregory P. Szuter
Hearing Site: Buffalo, NY
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| 20-00250 | 08/24/2020 | Claimant(s): William Neat
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | |
| 17-01943 | 04/25/2018 | Claimant(s): Stephen Fish
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments LLC
Respondent Lawyers(s): Raymond M. Ripple
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | |
| 15-00958 | 02/02/2016 | Claimant(s): Richard Desman
Claimant Lawyers(s): Carolyn L. Dorazio
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Ronald W. Sannicandro
Arbitrator(s): Gregory P. Szuter
Hearing Site: Pittsburgh, PA
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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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| 14-00879 | 02/18/2015 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): Charles Grimes
Respondent Lawyers(s): David E. Grimes
Arbitrator(s): Susan K. Hollenbach, Randall S. Strause, Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | Expungement |
| 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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| 12-04273 | 03/10/2014 | Claimant(s): Karen Cartwright
Claimant Lawyers(s): Shelly J. Todd
Respondent(s): Anthony Rocco, Richard Barron, Richard Spencer, Wesbanco Securities., Westbanco.
Respondent Lawyers(s): Douglas G. Smith
Arbitrator(s): Frank C. Fogl, Gregory P. Szuter, Paul E. von Geis
Hearing Site: Pittsburgh, PA
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| 13-01535 | 11/22/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Matthew Staten
Respondent Lawyers(s): Matthew W. Staten
Arbitrator(s): Gregory P. Szuter
Hearing Site: Columbus, OH
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