| 09-04362 | 07/25/2011 | Claimant(s): Barbara Agranoff, Joseph Agranoff, Barbara Agranoff IRA, Joseph H. Agranoff IRA
Claimant Lawyers(s): Timothy L. Van Eman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Rosen
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Carol M. Stoner, Robert L. Washburn, Daniel R. LaMacchia
Hearing Site: Columbus, OH
|  | $291,620 |
| 09-00410 | 11/15/2010 | Claimant(s): H Gordon Georgia Lee Bailey Chart Remain, Henry Gordon Bailey Jr. Living TR U/A 9/
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): David Pintaric, William Pintaric, WRP Investments.
Respondent Lawyers(s): Steven G. Janik
Arbitrator(s): Emily J. Lewis, Stephen Anthony Rogers, Wiley H. Clodfelder
Hearing Site: Columbus, OH
| | $0 |
| 09-07116 | 08/05/2010 | Claimant(s): David J Foster Charles Schwab & Co Inc
Claimant Lawyers(s): David P. Meyer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Kevin R. Zehe
Hearing Site: Columbus, OH
| | $0 |
| 09-00560 | 06/18/2010 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Brad Sweatland, UBS Financial Services Inc.
Respondent Lawyers(s): Brad Sweatland, Wm. Joseph Baker
Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Wiley H. Clodfelder
Hearing Site: Columbus, OH
| | Settlement |
| 09-05197 | 04/12/2010 | Claimant(s): Warren A. Powers Trust
Claimant Lawyers(s): Terry J. Powers
Respondent(s): Kevin WichmanL Financial Corporation
Respondent Lawyers(s): Ralph DiChiara
Arbitrator(s): Thomas R. Skulina
Hearing Site: Columbus, OH
| | $0 |
| 09-01606 | 03/09/2010 | Claimant(s): Robert Jones
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Ford
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Charles D. Underwood, Robin R. Mathews, Matthew Harold Fields
Hearing Site: Columbus, OH
| | $568,798 |
| 09-00700 | 08/03/2009 | Claimant(s): Michael Castle
Claimant Lawyers(s): Michael E. Castle
Respondent(s): Charles Huff, Fifth Third Securities.
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Jason C. Blackford
Hearing Site: Columbus, OH
| | $0 |
| 08-00824 | 05/22/2009 | Claimant(s): David Yashon
Claimant Lawyers(s): David Yashon
Respondent(s): Brent Markley, Michael O'Dell, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff, James C. Browning
Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, Erick R. Zanner
Hearing Site: Columbus, OH
| | $46,000 |
| 07-02379 | 03/13/2009 | Claimant(s): Chelcy Hershey, Jack Hershey, Pamela Wells, Phyllis Kirk, Raymond Hershey, The Estate of Mildred McCreanor
Claimant Lawyers(s): David P. Meyer
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Jeffrey M. Bain, David C. Young, Jeffrey G. Swartz
Hearing Site: Columbus, OH
| | $109,844 |
| 07-02938 | 10/07/2008 | Claimant(s): Antoinette Peltz, Jeffrey Peltz
Claimant Lawyers(s): Geoffrey C. Brown
Respondent(s): Mark Moyer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Richard W. Gambs, Harlita R. Tomlinson, William Culver
Hearing Site: Columbus, OH
| | $51,400 |
