| 11-01103 | 10/22/2012 | Claimant(s): Thomas Vogel, Thomas Vogel IRA
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Bill Swinford, James A. Melfi, Charles D. Underwood
Hearing Site: Cincinnati, OH
|  | $0 |
| 11-03756 | 09/10/2012 | Claimant(s): Forrest Sutherland
Claimant Lawyers(s): Cassaundra L. Edwards
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Scott H Litwin, Jeffrey M. Bain, Barbara Black
Hearing Site: Cincinnati, OH
| | $0 |
| 11-03941 | 05/02/2012 | Claimant(s): Neema Nourian
Claimant Lawyers(s): Neema Nourian
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | $163 |
| 11-00807 | 02/15/2012 | Claimant(s): Kwame Boateng
Claimant Lawyers(s): A. Brian McIntosh
Respondent(s): Danielle Schmidt, Kevin Martin, Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Kevin R. McDermott
Hearing Site: Cincinnati, OH
| | Stipulated Award and Expungement |
| 10-04362 | 11/04/2011 | Claimant(s): Emil Royers, Mary Royers
Claimant Lawyers(s): Rick Royers
Respondent(s): Anthony Pitstick, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Bert S Cliff, Harlita R. Tomlinson, Stephen John Schaller
Hearing Site: Cincinnati, OH
| | Expungement |
| 09-00200 | 11/22/2010 | Claimant(s): John Grimes
Claimant Lawyers(s): John W. Grimes
Respondent(s): Roy Neal, 1717 Capital Management Company
Respondent Lawyers(s): Joseph J. Dehner, Natalie T. Furniss
Arbitrator(s): Bert S Cliff, Bill Swinford, Robert Economou
Hearing Site: Cincinnati, OH
| | $0 |
| 08-01389 | 05/26/2010 | Claimant(s): Paul Gosiger
Claimant Lawyers(s): Russell S. Sayre
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Hasan Ibrahim
Arbitrator(s): Lisa Shusterman, Harlita R. Tomlinson, Marc E. Henn
Hearing Site: Cincinnati, OH
| | $24,549 |
| 08-01369 | 05/10/2010 | Claimant(s): Diane Zodikoff, John Rausch
Claimant Lawyers(s): Amanda P. Lenhart
Respondent(s): Ameriprise Advisor Services., Robert Bilo
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Peter L. Pointer, James P. McCrocklin, Edmund P. Pultinas
Hearing Site: Cincinnati, OH
| | $56,978 |
| 08-02905 | 03/03/2010 | Claimant(s): Bruce Rogovin
Claimant Lawyers(s): Steve Rogovin
Respondent(s): Charles Schwab & Co.., Robert Lewandowski, Charles Schwab Investment Management, In, Schwab Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Barbara E. Dixon
Hearing Site: Cincinnati, OH
| | Stipulated Award and Expungement |
| 08-00674 | 12/02/2009 | Claimant(s): Alma F. Hollingsworth, IRA, Paul Hollingsworth, Paul and Alma F. Hollingsworth, Trustees
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Michael R. Robinson
Arbitrator(s): David W. Stanton, Belinda M. Ohlinger, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $57,882 |
