| 10-05138 | 05/16/2013 | Claimant(s): Bonnie Shaw, Thomas Shaw
Claimant Lawyers(s): Geoffrey C. Brown
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Mary D. Stevenson, Sarah R. Cole, John T. Meredith
Hearing Site: Columbus, OH
|  | Expungement |
| 12-01099 | 05/13/2013 | Claimant(s): Jamie Kaufman, Jeffery Jordan
Claimant Lawyers(s): David P. Meyer
Respondent(s): ProEquities.
Respondent Lawyers(s): Melinda L. Peevy
Arbitrator(s): Lisa Shusterman, Christy K. Radigan, Regina F. Burch
Hearing Site: Columbus, OH
| | $0 |
| 09-04968 | 01/08/2013 | Claimant(s): Jaclyn Cedeno
Claimant Lawyers(s): Peter R. Silverman
Respondent(s): Michael Anello, EKN Financial Services Inc., Obsidian Financial Group
Respondent Lawyers(s): Martin P. Unger, Michael A. Anello, Thomas Giugliano
Arbitrator(s): Jeffrey M. Bain, Karen Yvonne Preston, Stanley Kenneth Evans
Hearing Site: Columbus, OH
| | $469,420 |
| 11-03226 | 11/30/2012 | Claimant(s): Phyllis Culbertson
Claimant Lawyers(s): David P. Meyer
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): J. Curtis McCubbin
Arbitrator(s): Jeffrey M. Bain, Vincent S. Mezinko, Michael Angelo Massa
Hearing Site: Columbus, OH
| | $184,995 |
| 11-01653 | 10/17/2012 | Claimant(s): Mary R. Brumfield Living Trust, Steven F. Brumfield Living Trust, Steven M. Brumfield Living Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Roger Ruth, MWA Financial Services Inc.
Respondent Lawyers(s): Carlos E. Mustelier, Douglas P. Whipple
Arbitrator(s): Emily J. Lewis, Alex H. Keller, Mary D. Stevenson
Hearing Site: Columbus, OH
| | $600 |
| 11-02518 | 09/06/2012 | Claimant(s): Raymond Gaib
Claimant Lawyers(s): Raymond M. Gaib
Respondent(s): Jason Cruciani
Respondent Lawyers(s): Jason Cruciani
Arbitrator(s): Kevin R. McDermott
Hearing Site: Columbus, OH
| | $10,075 |
| 11-03751 | 07/10/2012 | Claimant(s): Cassandra Fishbein, Donn Fishbein, Donn Fishbein PSP Part QRP/Keogh
Claimant Lawyers(s): Nicole L. Harrison
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Barbara Black
Hearing Site: Columbus, OH
| | Expungement |
| 11-01493 | 04/16/2012 | Claimant(s): David Swayze
Claimant Lawyers(s): Edward J. Duffy
Respondent(s): Catherine Hutton, Michael Young, The Huntington Investment Company
Respondent Lawyers(s): Catherine Marie Hutton, Douglas R. Jennings
Arbitrator(s): Louis V. Imundo, Karen Yvonne Preston, Kathleen P. Helbig-Hannan
Hearing Site: Columbus, OH
| | $2,262 |
| 10-04961 | 11/18/2011 | Claimant(s): Dianne W. Mack IRA, Douglas R. Mack IRA, Douglas R. Mack & Dianne W. Mack, JT TEN
Claimant Lawyers(s): Kendra L. Carpenter
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Robert N. Rapp
Arbitrator(s): Robert P. Fogarty, W. Sean Kelleher, Gregory P. Szuter
Hearing Site: Columbus, OH
| | $0 |
| 10-02770 | 11/08/2011 | Claimant(s): Lois Reed, Lois W. Reed Trust
Claimant Lawyers(s): Andrew M. Holford
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Gregory G. Wille
Arbitrator(s): Benjamin B. Segel, Thomas R. Skulina, Mary Ten Eyck Taylor
Hearing Site: Columbus, OH
| | $0 |
