| 12-02163 | 11/22/2013 | Claimant(s): Mary Kunar
Claimant Lawyers(s): Douglas A. Kutsko
Respondent(s): Wells Fargo Advisors, Philip Kousaie, Thomas Hall
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cleveland, OH
|  | Expungement |
| 12-02683 | 11/11/2013 | Claimant(s): Lee Seidman, Mark Kreindel, Sharon Kreindel, Lee G. Seidman Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): Securities America.
Respondent Lawyers(s): Carmen Brun
Arbitrator(s): James Dale Ellis, Michael D. McDowell, Douglas Lucera Alder
Hearing Site: Cleveland, OH
| | $573,316 |
| 12-03231 | 10/18/2013 | Claimant(s): Kevin Kane
Claimant Lawyers(s): Neil D. Petkovic
Respondent(s): The O.N. Equity Sales Company
Respondent Lawyers(s): Marion H. Little
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $25,000 |
| 13-00464 | 09/16/2013 | Claimant(s): Paul S. Dennis Trust
Claimant Lawyers(s): Sean P. Malone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lynn Saralli
Arbitrator(s): Benjamin B. Segel
Hearing Site: Cleveland, OH
| | $0 |
| 13-00498 | 09/05/2013 | Claimant(s): Henry F. Schweinhagen IRA, Sherry D. Schweinhagen IRA
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Daniel Garvin
Respondent Lawyers(s): Daniel Garvin
Arbitrator(s): Thomas R. Skulina
Hearing Site: Cleveland, OH
| | $40,600 |
| 12-00340 | 06/18/2013 | Claimant(s): Steven Constantino IRA, Steven Constantino Joint Account
Claimant Lawyers(s): Jonathan Earl Rosenbaum
Respondent(s): Joseph Starr, Ferris, Baker Watts
Respondent Lawyers(s): Donald S. Arbour, Joseph P. Starr
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $15,225 |
| 12-00316 | 06/05/2013 | Claimant(s): Deanna Smith, Eric Smith
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Kevin R. Zehe, Joseph Edelstein, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | Expungement |
| 12-02953 | 06/04/2013 | Claimant(s): Harley Collins
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Richard W. Dissen
Hearing Site: Cleveland, OH
| | Dismissed by Rule 12206 |
| 12-01051 | 03/15/2013 | Claimant(s): George White, Nancy White
Claimant Lawyers(s): Robert A. Bunda
Respondent(s): Richard Sandru, Cambridge Investment Research.
Respondent Lawyers(s): Richard Patrick Sandru, Sabryne Coleman
Arbitrator(s): Michael L. Fortney, James J. Puhala, John C. Aten
Hearing Site: Cleveland, OH
| | $90,834 |
| 11-00028 | 01/31/2013 | Claimant(s): Mary Barath
Claimant Lawyers(s): Alice Stewart
Respondent(s): Ameriprise Financial Services., Satish Singh, Timothy McLaughlin
Respondent Lawyers(s): Heather J. Melloh, Timothy M. McLaughlin
Arbitrator(s): Richard W. Dissen, Eileen B. Vernon, Daniel L. Bonder
Hearing Site: Cleveland, OH
| | Expungement |
