| 22-01572 | 03/13/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Erika Murdoch
Respondent(s): Daryl Demo, Michael Quin, DayMark Wealth Partners
Respondent Lawyers(s): Mathew Plant
Arbitrator(s): Lawrence W. Arness, Harlita R. Tomlinson, Robert Roth Sparks
Hearing Site: Cincinnati, OH
| | |
| 20-01826 | 08/06/2021 | Claimant(s): Jonathan Hoelscher
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Cincinnati, OH
| | |
| 18-01430 | 09/04/2019 | Claimant(s): Estate of Paula Zaring
Claimant Lawyers(s): George D. Jonson
Respondent(s): Amy McPike
Respondent Lawyers(s): Katie Zorc
Arbitrator(s): Harlita R. Tomlinson, Christy K. Radigan, Alexander Jay Brockmeier
Hearing Site: Cincinnati, OH
|  | $0 |
| 14-03253 | 05/09/2017 | Claimant(s): Fredric Rothermich
Claimant Lawyers(s): Christopher J. Hogan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Harlita R. Tomlinson, Erick R. Zanner, Sandra M. Furman
Hearing Site: Columbus, OH
| | |
| 14-03156 | 08/28/2015 | Claimant(s): Scott Singleton
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Cincinnati, OH
| | $13 |
| 13-02155 | 05/27/2014 | Claimant(s): Michael Folk
Claimant Lawyers(s): Michael Folk
Respondent(s): Dwight Shelley, Kathryn Folk, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Deanna L. Dennison, Lauren E. Ingoldsby
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Cincinnati, OH
| | $0 |
| 12-01700 | 01/16/2013 | Claimant(s): Angela Fogle
Claimant Lawyers(s): Angela Fogle
Respondent(s): Elizabeth Hammack, Edward Jones
Respondent Lawyers(s): Joseph D'Elia
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Louisville, KY
| | $0 |
| 10-04362 | 11/04/2011 | Claimant(s): Emil Royers, Mary Royers
Claimant Lawyers(s): Rick Royers
Respondent(s): Anthony Pitstick, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Bert S Cliff, Harlita R. Tomlinson, Stephen John Schaller
Hearing Site: Cincinnati, OH
| | Expungement |
| 08-01389 | 05/26/2010 | Claimant(s): Paul Gosiger
Claimant Lawyers(s): Russell S. Sayre
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Hasan Ibrahim
Arbitrator(s): Lisa Shusterman, Harlita R. Tomlinson, Marc E. Henn
Hearing Site: Cincinnati, OH
| | $24,549 |
| 07-02938 | 10/07/2008 | Claimant(s): Antoinette Peltz, Jeffrey Peltz
Claimant Lawyers(s): Geoffrey C. Brown
Respondent(s): Mark Moyer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Richard W. Gambs, Harlita R. Tomlinson, William Culver
Hearing Site: Columbus, OH
| | $51,400 |
