| 12-04367 | 05/07/2015 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes
Claimant Lawyers(s): Samuel R. Mauch
Respondent(s): John Offenburger
Respondent Lawyers(s): Stephany D. McLaughlin
Arbitrator(s): Charles D. Underwood, Larry P. Larsen, Robert L. Washburn
Hearing Site: Columbus, OH
| | |
| 13-02309 | 04/14/2015 | Claimant(s): Carter Garnon
Claimant Lawyers(s): Adam P Richards
Respondent(s): NYLife Securities LLC, Thomas Krach, New York Life Insurance Company, New York Life Insurance and Annuity Comp
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Charles D. Underwood, John C. Aten, Matthew Harold Fields
Hearing Site: Columbus, OH
| | |
| 14-02280 | 04/01/2015 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Elizabeth M. HIll
Respondent(s): Jo Fisher
Respondent Lawyers(s): Rose M. Schindler
Arbitrator(s): Charles D. Underwood, John B. Glueckert, Robert L. Washburn
Hearing Site: Columbus, OH
| | |
| 12-03726 | 10/10/2013 | Claimant(s): Jon Arnold
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, John B. Glueckert
Hearing Site: Columbus, OH
| | |
| 11-02740 | 11/01/2012 | Claimant(s): Wanda L. Lombardo Rev. Trust
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Charles H. Maguire, Charles D. Underwood, Stephen P. Calardo
Hearing Site: Cincinnati, OH
|  | Expungement |
| 11-01103 | 10/22/2012 | Claimant(s): Thomas Vogel, Thomas Vogel IRA
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Bill Swinford, James A. Melfi, Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $0 |
| 08-01874 | 06/29/2010 | Claimant(s): Associated Financial Group.
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Thomas Ensign, Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming, Thomas Ensign
Arbitrator(s): Charles D. Underwood, David W. Stanton, Erick R. Zanner
Hearing Site: Columbus, OH
| | |
| 09-01606 | 03/09/2010 | Claimant(s): Robert Jones
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Ford
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Charles D. Underwood, Robin R. Mathews, Matthew Harold Fields
Hearing Site: Columbus, OH
| | $568,798 |
| 09-04061 | 02/18/2010 | Claimant(s): Joel Handorf
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Charles Luttjohann, Charles D. Luttjohann, IRRA
Respondent Lawyers(s): Martin B. Greenbaum
Arbitrator(s): Charles D. Underwood, Matthew Harold Fields
Hearing Site: Columbus, OH
| | Expungement |
| 09-00423 | 11/30/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher C. Young
Respondent(s): Raymond Jackson
Respondent Lawyers(s): Gregory N. Finnerty
Arbitrator(s): Peter L. Pointer, Charles D. Underwood, Regina F. Burch
Hearing Site: Columbus, OH
| | |
