| 20-04184 | 12/21/2023 | Claimant(s): Michael Codispoti
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Robert David Epstein, Mark A. Sipper, John William Diether
Hearing Site: Cincinnati, OH
|  | Expungement |
| 22-00198 | 10/19/2023 | Claimant(s): Elizabeth Darley, Louise Hindert, Martha Jones 1999 GST UA dtd 01/25/99, Martha W. Jones Trust U/A DTD 01/25/99
Claimant Lawyers(s): Jared Levy
Respondent(s): Robert W. Baird & Co. Incorporated, Michael Coombe, Tucker Coombe
Respondent Lawyers(s): Culver V. Halliday, David S. Bloomfield, Robert P. Johnson
Arbitrator(s): Michael L. Lyons, Joseph R Soraghan, David S. Blessing
Hearing Site: Cincinnati, OH
| | $2,658,900 |
| 22-02714 | 06/21/2023 | Claimant(s): James Alonge
Claimant Lawyers(s): James A. Alonge
Respondent(s): Gregory Romes
Respondent Lawyers(s): David Markun
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | $213 |
| 22-01770 | 12/09/2022 | Claimant(s): Michael Walters
Claimant Lawyers(s): Michael Walters
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | $0 |
| 21-02333 | 09/06/2022 | Claimant(s): Dawn Chappel
Claimant Lawyers(s): Dawn Chappel
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): John C. Aten
Hearing Site: Cincinnati, OH
| | $0 |
| 19-01276 | 08/11/2022 | Claimant(s): David Budzianowski, D Budzianowski H Daftarian JTWROS
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cincinnati, OH
| | $22,500 |
| 19-03115 | 05/14/2021 | Claimant(s): Carole Rauf
Claimant Lawyers(s): Carole Dill Rauf
Respondent(s): T. Rowe Price Investment Services., Jennifer Farmer, Romelio Flores
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Lawrence W. Arness
Hearing Site: Cincinnati, OH
| | $2,467 |
| 20-04046 | 04/19/2021 | Claimant(s): Adam Lohrey
Claimant Lawyers(s): Adam Lohrey
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cincinnati, OH
| | $300 |
| 20-01911 | 03/10/2021 | Claimant(s): Lucas Tiettmeyer
Claimant Lawyers(s): Lucas Tiettmeyer
Respondent(s): Ally Invest Securities.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Cincinnati, OH
| | $0 |
| 20-01582 | 02/05/2021 | Claimant(s): Robert Mangine
Claimant Lawyers(s): Richard S. Wayne
Respondent(s): Charles Schwab & Co.., James Albert
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cincinnati, OH
| | Expungement |
