| 14-00824 | 09/26/2014 | Claimant(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
|  | $14,600 |
| 13-03702 | 07/10/2014 | Claimant(s): Stephen O'Laughlin
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Columbus, OH
| | $17,212 |
| 12-03625 | 12/20/2013 | Claimant(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
| | Expungement |
| 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 |
| 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 |
| 11-02643 | 11/20/2012 | Claimant(s): Martin Leibowitz
Claimant Lawyers(s): Joseph D. Carney
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Robert Rapp, Kathleen P. Helbig-Hannan, Robert M Lustig
Hearing Site: Cleveland, OH
| | $0 |
| 11-02646 | 08/16/2012 | Claimant(s): Virginia Bond Patchen
Claimant Lawyers(s): Scott M. Hare
Respondent(s): Pershing LLC, Kevin Miller, Thomas Virostek, Northwestern Mutual Investment Services,, Northwestern Mutual Wealth Management Co, The Northwestern Mutual Life Insurance C
Respondent Lawyers(s): James A. McGovern, Joseph S.D. Christof II
Arbitrator(s): Ellen Holland Keller, Thomas H. Barnard, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 11-01142 | 06/19/2012 | Claimant(s): Greg Skafec
Claimant Lawyers(s): Thomas L. Mason
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Carolyn Guy
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 11-03984 | 04/23/2012 | Claimant(s): Suzan S. Amara and Ayman S. Amara
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $5,576 |
| 11-01493 | 04/16/2012 | Claimant(s): David Swayze
Claimant Lawyers(s): Edward J. Duffy
Respondent(s): Catherine Hutton, Michael Young, The Huntington Investment Company
Respondent Lawyers(s): Catherine Marie Hutton, Douglas R. Jennings
Arbitrator(s): Louis V. Imundo, Karen Yvonne Preston, Kathleen P. Helbig-Hannan
Hearing Site: Columbus, OH
| | $2,262 |
