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FINRA Awards for Cleveland, OH

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Displaying 61-70 out of 127 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0082409/26/2014Claimant(s): Carol Oliver
Claimant Lawyers(s): Courtney M. Yeager
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
Checkmark Icon$14,600
13-0111908/12/2014Claimant(s): Edward South
Claimant Lawyers(s): Edward South #642-211
Respondent(s): M. Wallace
Respondent Lawyers(s): Craig W. Beidler
Arbitrator(s): G. Daniel Carney
Hearing Site: Cleveland, OH
Checkmark Icon$0
13-0293708/05/2014Claimant(s): Matthew Pajestka
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Frank C. Fogl
Hearing Site: Cleveland, OH
Checkmark Icon$18,000
13-0077907/30/2014Claimant(s): Spencer Sheard
Claimant Lawyers(s): John F. Hill
Respondent(s): Wells Fargo Advisors, The Estate of Karl Baumholtz, Deceased
Respondent Lawyers(s): Deirdre C. Wolff, Karlene Clark
Arbitrator(s): Benjamin B. Segel, Jeffrey M. Bain, Cynthia Diane Rudick
Hearing Site: Cleveland, OH
Checkmark Icon$144,125
13-0038705/21/2014Claimant(s): Deborah Blair, John Blair
Claimant Lawyers(s): Michael J. Elliott
Respondent(s): PNC Investments LLC
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Benjamin B. Segel
Hearing Site: Cleveland, OH
Checkmark IconExpungement
12-0365405/01/2014Claimant(s): Linda Gabriel, The Linda Mae Gabriel Trust
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Douglas R. Jennings
Arbitrator(s): Thomas R. Skulina, I. Bernard Trombetta, Lane Alan Montz
Hearing Site: Cleveland, OH
Checkmark Icon$135,000
12-0346004/24/2014Claimant(s): Wilma C. Lilley Trust
Claimant Lawyers(s): Charles T. Riehl
Respondent(s): Lewis Lilley, Raymond James Financial Services., Timothy Herling, Creative Wealth Management
Respondent Lawyers(s): Kelli Hartsook, Patrick Dichiro, The Company President
Arbitrator(s): Daniel G. Zeiser
Hearing Site: Cleveland, OH
Checkmark IconExpungement
12-0238404/15/2014Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Miles D. Hart
Respondent(s): Raymond Kovalski
Respondent Lawyers(s): Timothy R. Obringer
Arbitrator(s): Kathleen P. Helbig-Hannan, I. Bernard Trombetta, Douglas Lucera Alder
Hearing Site: Cleveland, OH
Checkmark IconExpungement
13-0192612/27/2013Claimant(s): Eniko Shaw, Joseph Shaw
Claimant Lawyers(s): Joseph Shaw
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
Checkmark Icon$0
12-0362512/20/2013Claimant(s): Laurie Krauss, Laurie L. Krauss Trust UAD 03/27/12
Claimant Lawyers(s): David P Meyer
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Kathleen P. Helbig-Hannan, Robert M Lustig, Leroy Burton Parks
Hearing Site: Cleveland, OH
Checkmark IconExpungement

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