| 16-02511 | 03/27/2018 | Claimant(s): William Alford
Claimant Lawyers(s): Carl E. Patrick
Respondent(s): G. Parry, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Ellen Holland Keller, Gregory G. Gocek, Richard S. Hines
Hearing Site: Cleveland, OH
|  | $0 |
| 16-02100 | 03/22/2018 | Claimant(s): James Mirgliotta, The Estate of Bette Mirgliotta
Claimant Lawyers(s): Robert J. Dubyak
Respondent(s): Christopher Cervino, Larry Werbel, Wilson-Davis & Company.
Respondent Lawyers(s): Christopher Michael Cervino, Larry Steven Werbel, Mark O. Van Wagoner
Arbitrator(s): Michael S. Matek, Robert M Lustig, Kevin Brodar
Hearing Site: Cleveland, OH
| | $845,000 |
| 16-03079 | 03/05/2018 | Claimant(s): The Robert A. Weitzel Trust
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David Buffa
Arbitrator(s): Kathleen P. Helbig-Hannan, Eileen B. Vernon, Ronald Edward Alexander
Hearing Site: Cleveland, OH
| | Expungement |
| 17-00069 | 02/07/2018 | Claimant(s): Estate of Louis P. Castellarin
Claimant Lawyers(s): John S. Chapman
Respondent(s): Doreen Weber, Jeffrey Schuh, Kevin Larson
Respondent Lawyers(s): F. Chet Taylor
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $20,000 |
| 16-02216 | 01/24/2018 | Claimant(s): Inez Corrado, Mark Corrado
Claimant Lawyers(s): David Justin Gingerich
Respondent(s): Christopher Barone, Dominic Tropiano, Richard Barone, America Northcoast Securities.
Respondent Lawyers(s): Dominic Anthony Tropiano, Michael D. Hoenig
Arbitrator(s): Jeffrey M. Bain, Gregory P. Szuter, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | Expungement |
| 16-02099 | 12/31/2017 | Claimant(s): Alfred Hammer, Anthony Longano, Barbara Pasalis, Donald Satava, Francesco Melfi, James Satava, Joan Satava, John DeMichele, Karen Hammer, Karen Harnar, Karen Marano, Lauren Longano, Lea Russell for Julie Russell, Lori Prebul, Mildred Marano, Stephen Satava
Claimant Lawyers(s): David P. Meyer
Respondent(s): Christopher Barone, Richard Barone, America Northcoast Securities.
Respondent Lawyers(s): Michael Davis Hoenig
Arbitrator(s): Michael J. Meeusen, Carol Jean Bader, Kevin Brodar
Hearing Site: Cleveland, OH
| | Expungement |
| 16-00870 | 12/18/2017 | Claimant(s): Sabine Parker
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Craig Sutherland, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Michael L. Fortney, Robert M Lustig, Karl Strohbehn
Hearing Site: Cleveland, OH
| | Expungement |
| 17-00905 | 09/26/2017 | Claimant(s): John Serwatka
Claimant Lawyers(s): John A. Serwatka
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Michael James Malone
Hearing Site: Cleveland, OH
| | $368 |
| 15-03367 | 06/06/2017 | Claimant(s): John Ebersole, Patti Ebersole
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Michael S. Matek, Kevin R. Zehe, Ronnie Lou Marquez-Posey
Hearing Site: Cleveland, OH
| | Stipulated Award |
| 16-00575 | 04/26/2017 | Claimant(s): Brian Holmes, Michelle Holmes
Claimant Lawyers(s): Joel Levin
Respondent(s): Ralph Derose, Wunderlich Securities.
Respondent Lawyers(s): Mark Griffin
Arbitrator(s): Charles Orlove, James Dale Ellis, Ronald Edward Alexander
Hearing Site: Cleveland, OH
| | $1,044,780 |
