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FINRA Awards for Columbus, OH

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Displaying 11-20 out of 54 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0217909/13/2018Claimant(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
Checkmark IconExpungement
17-0261306/18/2018Claimant(s): Alice Irwin, Charles Irwin
Claimant Lawyers(s): Alice Louise Irwin, Charles Dail Irwin
Respondent(s): Cambridge Investment Research., Denver Nelson
Respondent Lawyers(s): Andrew J. Dorman, Gary Saretsky
Arbitrator(s): John F. Burns, Lynn Hirschfeld Brahin, Christy K. Radigan
Hearing Site: Columbus, OH
Checkmark IconDismissed by Rule 12206
16-0133810/24/2017Claimant(s): John Hazlip
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Lynn Hirschfeld Brahin, Karen Yvonne Preston, Belinda M. Ohlinger
Hearing Site: Columbus, OH
Checkmark IconExpungement
16-0147407/10/2017Claimant(s): Peter DeMarco
Claimant Lawyers(s): William K. Flynn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Columbus, OH
Checkmark IconExpungement
16-0146206/27/2017Claimant(s): Daniel Schaefer
Claimant Lawyers(s): Daniel Schaefer
Respondent(s): Source Capital Group.
Respondent Lawyers(s): David Harris
Arbitrator(s): Michael J. Meeusen, John W. Eichleay, Vincent S. Mezinko
Hearing Site: Columbus, OH
Checkmark Icon$0
15-0313802/16/2017Claimant(s): James F. Kerg Revocable Living Trust
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Wells Fargo Advisors Financial Network, Eric Haubert
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Emily J. Lewis, Stephen D Kursman, W Charles Curley
Hearing Site: Columbus, OH
Checkmark IconExpungement
15-0227205/03/2016Claimant(s): Joseph Schirtzinger
Claimant Lawyers(s): Joseph M. Schirtzinger
Respondent(s): Putnam Retail Management Limited Partner
Respondent Lawyers(s): Kenneth Ashton
Arbitrator(s): Mark L Miller, Dale A. Crawford, Anthony Cipiti
Hearing Site: Columbus, OH
Checkmark Icon$0
15-0006504/25/2016Claimant(s): Mary Katherine Beiting, Otto Beiting
Claimant Lawyers(s): Joseph D. Kirby
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Charles D. Underwood
Hearing Site: Columbus, OH
Checkmark IconExpungement
14-0048112/01/2015Claimant(s): Ernest Hase, Nancy Hase
Claimant Lawyers(s): Adam M. Green
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Kathleen P. Helbig-Hannan, Michael S. Berman, Stuart C. Gaul
Hearing Site: Columbus, OH
Checkmark IconExpungement
12-0331010/22/2015Claimant(s): John Bensman
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Michael Oromaner, Brookville Capital Partners LLC, New Castle Financial Group.
Respondent Lawyers(s): Corporate Office, Gabriel Iezzoni, Custodian, Thomas J. McCabe
Arbitrator(s): James Patrick Graven
Hearing Site: Columbus, OH
Checkmark Icon$29,277

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