| 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 |
| 20-04046 | 04/19/2021 | Claimant(s): Adam Lohrey
Claimant Lawyers(s): Adam Lohrey
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cincinnati, OH
| | $300 |
| 19-03321 | 01/25/2021 | Claimant(s): John Holborn
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co..
Respondent Lawyers(s): David G. Buffa, Jonathan E. Green
Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace
Hearing Site: Buffalo, NY
| | Dismissed by Rule 12206 |
| 19-01304 | 11/18/2019 | Claimant(s): Elizabeth Katen, Philip Katen, Ryan Katen, Timothy Katen
Claimant Lawyers(s): Robert H. Rex
Respondent(s): The Tidal Group.
Respondent Lawyers(s): Greg Weselka
Arbitrator(s): Gregory P. Szuter, Daniel G. Zeiser, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | Dismissed by Rule 12206/12504 |
| 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 |
| 16-02379 | 02/03/2017 | Claimant(s): David Aaron
Claimant Lawyers(s): David J. Aaron
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Kathleen P. Helbig-Hannan, John Nicholas Posch, Michael J Borden
Hearing Site: Cleveland, OH
| | $0 |
| 14-03169 | 06/08/2016 | Claimant(s): Brianna M. Leddy, Brooke Y. McWilliams, Connor McWilliams, Michael Leddy, Morgan E. McWilliams, Ryan Leddy, Shane W. McWilliams, IRA FBO Karen L. McWilliams, Karen L. and Kirk A. McWilliams
Claimant Lawyers(s): Vicki Kuftic Horne
Respondent(s): Patricia Miller, Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward, Patricia S. Miller
Arbitrator(s): Kathleen P. Helbig-Hannan, Christopher Lepore, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
| | $320,490 |
| 14-00481 | 12/01/2015 | Claimant(s): Ernest Hase, Nancy Hase
Claimant Lawyers(s): Adam M. Green
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Kathleen P. Helbig-Hannan, Michael S. Berman, Stuart C. Gaul
Hearing Site: Columbus, OH
| | Expungement |
