| 22-02724 | 03/31/2023 | Claimant(s): Nicholas Kosley
Claimant Lawyers(s): Nicholas A Kosley
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Barry Goldman
Hearing Site: Cleveland, OH
|  | $0 |
| 21-01288 | 03/13/2023 | Claimant(s): Robert Thompson
Claimant Lawyers(s): Robert Brendan Thompson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Gary B. Deutsch, Michael Alan Ellis, Laurie Ann Malone
Hearing Site: Cleveland, OH
| | $37,000 |
| 20-01072 | 01/19/2023 | Claimant(s): David Smith, The Estate of Clara M. Bell
Claimant Lawyers(s): Scott A. Lane
Respondent(s): Donald Smith, Provident Private Capital Partners.
Respondent Lawyers(s): G. Clinton Kelley
Arbitrator(s): Jeffrey M. Bain, Gary Lee Ainley, Karl Strohbehn
Hearing Site: Cleveland, OH
| | $93,666 |
| 22-01609 | 12/06/2022 | Claimant(s): The Hermes Family Trust
Claimant Lawyers(s): Courtney Werning
Respondent(s): Gregory Fockler, Royal Alliance Associates.
Respondent Lawyers(s): Gregory Curley
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
| | $10,600 |
| 19-02328 | 11/07/2022 | Claimant(s): Carl Abdalian
Claimant Lawyers(s): Robert Souren Abdalian
Respondent(s): Douglas Vollette, Fidelity Brokerage Services LLC, Todd Williams
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): John C. Aten
Hearing Site: Cleveland, OH
| | $0 |
| 21-01697 | 10/11/2022 | Claimant(s): O'Toole, McLaughlin, Dooley & Pecora, OMDP, Co. LPA Cash Balance Plan
Claimant Lawyers(s): Jeffrey D. Zimon
Respondent(s): Brian Kahl, Mid Atlantic Financial Management., The Kahl Group
Respondent Lawyers(s): Brian P. Nally
Arbitrator(s): Gregory P. Szuter, Marques P.D. Richeson, Aleksandar Sava Rakic
Hearing Site: Cleveland, OH
| | Expungement |
| 22-00835 | 09/07/2022 | Claimant(s): Aspiration Financial LLC
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Becky Keith
Respondent Lawyers(s): Becky Keith
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 20-01604 | 07/01/2022 | Claimant(s): Gerald Fallon
Claimant Lawyers(s): Jeffrey S. Moeller
Respondent(s): Ernest Mishne, Oppenheimer & Co.., Tom Thacker
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Michael L. Fortney, Dennis S. Medica, CPA, Ronald Edward Alexander
Hearing Site: Cleveland, OH
| | $220,352 |
| 20-03596 | 02/22/2022 | Claimant(s): Sherita Booker
Claimant Lawyers(s): Sherita Quana Booker
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Richard W. Dissen, Eileen B. Vernon, Karl Strohbehn
Hearing Site: Cleveland, OH
| | $0 |
| 19-00440 | 10/12/2021 | Claimant(s): Sheila Schwartz
Claimant Lawyers(s): David P. Meyer
Respondent(s): Thomas McDonald, McDonald Partners.
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): James Dale Ellis, Carol Jean Bader, Kevin Brodar
Hearing Site: Cleveland, OH
| | $360,000 |
