| 10-01456 | 04/26/2011 | Claimant(s): The Estate of Harvey Rosner
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): Kristen Hummel, U.S. Bancorp Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cleveland, OH
|  | $0 |
| 08-04789 | 06/09/2009 | Claimant(s): Harriet Pearlman and Alan Pearlman JT Te
Claimant Lawyers(s): Alan Pearlman
Respondent(s): Natcity Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | $6,797 |
| 07-01228 | 08/14/2008 | Claimant(s): Puccinelli PRFT Shr TT 2-1-84, Puccinelli Retire Tst 6-26-00, Puccinelli Trust 10-1-1998
Claimant Lawyers(s): Douglas P. Whipple
Respondent(s): Brian Bruscino, NatCity Investments., National City Insurance Group.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): James A. Laurenson, James Dale Ellis, Scott C. Matasar
Hearing Site: Cleveland, OH
| | $0 |
| 07-01002 | 12/19/2007 | Claimant(s): Beatrice Pautienis
Claimant Lawyers(s): Beatrice Pautienis
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cleveland, OH
| | $0 |
| 06-05015 | 11/09/2007 | Claimant(s): Torsten Scholl, DEQ GMBH & Co. Venture KG
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): J.P. Morgan Securities., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph S. Simms, Timothy P. Burke
Arbitrator(s): Frank Muller, John E. Hansen, Court O. Anderson
Hearing Site: New York, NY
| | $0 |
