| 08-05002 | 06/04/2009 | Claimant(s): Howard Winston
Claimant Lawyers(s): Howard Winston
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Kevin R. McDermott
Hearing Site: Cincinnati, OH
|  | $88 |
| 08-00029 | 05/29/2009 | Claimant(s): Craig Roberts, Pennie Roberts, Pennie L. Roberts Rev. Trust
Claimant Lawyers(s): A. Brian McIntosh
Respondent(s): Wachovia Securities, Patrick Sowers, Scottrade.
Respondent Lawyers(s): Andrew C. Small, Brent J. Burtin
Arbitrator(s): W. Pat Conners, John S. Weisheit, Edmund P. Pultinas
Hearing Site: Cincinnati, OH
| | $0 |
| 04-05235 | 03/13/2009 | Claimant(s): The Frazier Family Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): David A. Travin
Arbitrator(s): Neal D. Baker
Hearing Site: Cincinnati, OH
| | $0 |
| 07-03128 | 12/17/2008 | Claimant(s): Walter A. Flick & Judith R. Flick JTWROS
Claimant Lawyers(s): David S. Blessing
Respondent(s): Russell Stansell, Kovack Securities Inc.
Respondent Lawyers(s): Brian Kovack, Russell Dean Stansell
Arbitrator(s): Bill Swinford, Alex H. Keller, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $52,515 |
| 07-01876 | 01/24/2008 | Claimant(s): Robert Cash
Claimant Lawyers(s): Laura I. Hillerich
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Richard A. Boucher
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Cincinnati, OH
| | $6,386 |
| 07-01426 | 12/21/2007 | Claimant(s): Kerry Meyer, William Kreyenhagen
Claimant Lawyers(s): Lori A. Ross
Respondent(s): Robert Hogsette, Dawson Corporation, Ltd., Dawson Wealth Management Agency., Multi-Financial Securities.
Respondent Lawyers(s): Marion H. Little
Arbitrator(s): Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $37,154 |
| 06-04247 | 11/06/2007 | Claimant(s): Ethel Vidas, Ethel Vidas Trust Dtd 4/2/1997, Suc.Tr. of the Harry C. Vidas Trust
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Robert H. Griffin
Hearing Site: Cincinnati, OH
| | $91,000 |
| 06-03942 | 10/31/2007 | Claimant(s): The Estate of Sydney G. Smith, Jr.
Claimant Lawyers(s): Bradley R. Hoyt
Respondent(s): Raffi Oghlian, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Raffi Oghlian
Arbitrator(s): Amelia F. Adams, Stuart Arthur Reagan, Peter F. von Meister
Hearing Site: Cincinnati, OH
| | $30,000 |
| 05-04592 | 10/05/2007 | Claimant(s): Vinu and Smita Patel
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Jigar Patel, Merrill Lynch Pierce Fenner & Smith Inc., Michael Miros
Respondent Lawyers(s): D. Michael O'Neil, Philip D. Sever
Arbitrator(s): Wallace E. Sarran, David W. Stanton, Lisa Shusterman
Hearing Site: Cincinnati, OH
| | Expungement |
