19-03164 | 08/06/2021 | Claimant(s): Timothy Jackson Claimant Lawyers(s): Timothy Wayne Jackson Respondent(s): Prudential Annuities Distributors Respondent Lawyers(s): Sarah M. Mancuso Arbitrator(s): Gregory P. Szuter Hearing Site: Cleveland, OH
| | $225 |
19-03219 | 03/27/2020 | Claimant(s): Daniel T. Kuhl, IRA Claimant Lawyers(s): Benjamin B. Segel Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Gregory P. Szuter Hearing Site: Columbus, OH
| | $300 |
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 |
18-01144 | 09/04/2018 | Claimant(s): Edmund F. Turek IMA Claimant Lawyers(s): Brian T. Giles Respondent(s): PNC Investments Respondent Lawyers(s): Jason E. Hazlewood Arbitrator(s): Stuart D. Summers, Michael J. Meeusen, Gregory P. Szuter Hearing Site: Cincinnati, OH
| | $0 |
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 |
15-00053 | 01/14/2016 | Claimant(s): Ronald Farhi Claimant Lawyers(s): Ronald Farhi Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): John Starnes Arbitrator(s): Gregory P. Szuter Hearing Site: Cleveland, OH
| | $0 |
13-02837 | 03/17/2015 | Claimant(s): The Estate of Harold Zimmerman Claimant Lawyers(s): Robert R. Sparks Respondent(s): John Steffen, Raymond James Financial Services., William Nagy, CFD Investments., Creative Financial Designs. Respondent Lawyers(s): Erin K. Linehan, Paul D. Vink Arbitrator(s): Stephen P. Calardo, Gregory P. Szuter, A. Brian McIntosh Hearing Site: Cincinnati, OH
| | $165,148 |
12-03447 | 01/09/2014 | Claimant(s): Joan McCauley Claimant Lawyers(s): Joan McCauley Respondent(s): Ameriprise Financial Services., Rush Hodgin Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Paul H. McKenna, Gregory P. Szuter, James G. Kirk Hearing Site: Pittsburgh, PA
| | $0 |
12-01998 | 08/29/2013 | Claimant(s): M. Kerr Claimant Lawyers(s): Robert W. Goehring Respondent(s): Hunter Associates. Respondent Lawyers(s): Scott Michael Hare Arbitrator(s): Gregory P. Szuter, Michael D. McDowell, Paul E. von Geis Hearing Site: Pittsburgh, PA
| | Stipulated Award and Expungement |
10-05119 | 09/11/2012 | Claimant(s): Estate of Richard Greenfield, Anna Greenfield Trust Claimant Lawyers(s): Anthony J. Hartman Respondent(s): Bradley Schlang, David Spinar, Debra Hansen, Dennis King, Douglas Fehr, James Heeney, James Nagengast, Jay Idt, Securities America., Kevin Miller, Lamar Jones, Michael Perlmuter, Pamela Wertheim, Randy Schneider, Scott Cross, Scott Hoyt, Steven Mcwhorter, W. Cross, Securities America Advisors. Respondent Lawyers(s): Burton W. Wiand, Gregory S. Kaufman Arbitrator(s): Robert G. Conway, Gregory P. Szuter, Leroy Burton Parks Hearing Site: Cleveland, OH
| | Expungement |