| 22-02483 | 11/03/2023 | Claimant(s): Evelyn Foose
Claimant Lawyers(s): Evelyn Foose
Respondent(s): Richard Reames
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Sandra Mendel Furman, Barbara E. Dixon, Ann Marie Hansen
Hearing Site: Columbus, OH
|  | $0 |
| 23-00032 | 07/05/2023 | Claimant(s): Arthur Rifflard, Arthur Rifflard IRA
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Vincent S. Mezinko
Hearing Site: Columbus, OH
| | $0 |
| 22-00372 | 01/13/2023 | Claimant(s): Allan Norris, Carol Norris, The Carol D. Norris Estate Planning
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Richard W. Dissen
Hearing Site: Columbus, OH
| | Expungement |
| 20-01763 | 11/19/2021 | Claimant(s): Stephen Frost
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Stuart D. Summers, Paul Lansing, Vincent S. Mezinko
Hearing Site: Columbus, OH
| | $0 |
| 21-00368 | 06/01/2021 | Claimant(s): Anthony Felice
Claimant Lawyers(s): Anthony J. Felice
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Robert J. Scafuri
Hearing Site: Columbus, OH
| | $0 |
| 19-02702 | 03/31/2021 | Claimant(s): Lisa Fisher, Matthew Fisher
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Paul Lansing, Lynn Hirschfeld Brahin, Marvin Brown
Hearing Site: Columbus, OH
| | $370,922 |
| 18-01201 | 10/23/2020 | Claimant(s): Arthur Bing, Bryan Davis, Holly Easton, Richard Stobbs, Yvonne Mitchell, Zoran Stoyanovich
Claimant Lawyers(s): John S. Chapman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Sharon R. Merriman, Jacqueline R. Fox, Gregory Hunter Mathews
Hearing Site: Columbus, OH
| | $450 |
| 19-03219 | 03/27/2020 | Claimant(s): Daniel T. Kuhl, IRA
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Gregory P. Szuter
Hearing Site: Columbus, OH
| | $300 |
| 18-02583 | 01/15/2020 | Claimant(s): Aneita Doering
Claimant Lawyers(s): Todd Neuman
Respondent(s): Gregory Coffing, Edward Jones
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Susanne J. Hollander, Karen Yvonne Preston, Erwin John Dugasz
Hearing Site: Columbus, OH
| | $0 |
| 17-02179 | 09/13/2018 | Claimant(s): Margaret Higginbotham, The Margaret C. Higginbotham Trust
Claimant Lawyers(s): David Meyer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Robert J. Scafuri, Joseph R. Soraghan, Sarah R. Cole
Hearing Site: Columbus, OH
| | Expungement |
