| 19-02328 | 11/07/2022 | Claimant(s): Carl Abdalian
Claimant Lawyers(s): Robert Souren Abdalian
Respondent(s): Douglas Vollette, Fidelity Brokerage Services LLC, Todd Williams
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): John C. Aten
Hearing Site: Cleveland, OH
|  | $0 |
| 21-02333 | 09/06/2022 | Claimant(s): Dawn Chappel
Claimant Lawyers(s): Dawn Chappel
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): John C. Aten
Hearing Site: Cincinnati, OH
| | $0 |
| 21-02938 | 06/09/2022 | Claimant(s): Kenneth Wise
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Joseph Edelstein, William M. Azkoul, John C. Aten
Hearing Site: Cleveland, OH
| | |
| 20-01248 | 09/10/2021 | Claimant(s): Alan Withrow, Belva Withrow
Claimant Lawyers(s): Travis A. Griffith
Respondent(s): Robert Skidmore, Money Concepts Capital Corp
Respondent Lawyers(s): Lee Murray Hall
Arbitrator(s): Kevin R. Zehe, Stephen M. Bales, John C. Aten
Hearing Site: Charleston, WV
| | Expungement |
| 20-02117 | 01/15/2021 | Claimant(s): Timothy Lofton
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Advisors Financial Network, UBS Financial Services Inc.
Respondent Lawyers(s): Deirdre Wolff, Omar Perez
Arbitrator(s): John C. Aten
Hearing Site: Cincinnati, OH
| | |
| 18-01457 | 11/01/2019 | Claimant(s): Elizabeth Jachles
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): John C. Aten, William Joseph Caprathe, Gary E Vickers
Hearing Site: Buffalo, NY
| | $0 |
| 18-02708 | 07/15/2019 | Claimant(s): Jesse Erdle, Lissette Erdle
Claimant Lawyers(s): Jesse Erdle
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John K. Gisleson
Arbitrator(s): Jeffry M. Bauer, John C. Aten, Paul K. Stecker
Hearing Site: Buffalo, NY
| | $0 |
| 17-00821 | 07/27/2018 | Claimant(s): David Ulrich
Claimant Lawyers(s): Thomas H. Brandt
Respondent(s): Roosevelt & Crossorporated
Respondent Lawyers(s): Sandra P. Lahens
Arbitrator(s): Tracy L. Allen, Patrick M. Markey, John C. Aten
Hearing Site: Buffalo, NY
| | Expungement |
| 14-02852 | 12/01/2016 | Claimant(s): Omega Facility Services Solutions Surety
Claimant Lawyers(s): Brandon S. Steele
Respondent(s): Edward Herbst, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Thomas H. Barnard, Christopher M. McMurray, John C. Aten
Hearing Site: Charleston, WV
| | $0 |
| 15-01071 | 09/02/2016 | Claimant(s): John Gross
Claimant Lawyers(s): Michael J. Elliott
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary J. Lieberman
Arbitrator(s): Marianne L. Simpson, John C. Aten, Gary Lee Ainley
Hearing Site: Cleveland, OH
| | |
