| 23-02802 | 03/28/2024 | Claimant(s): Edward Maynard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Joseph V. Simeri
Hearing Site: Cincinnati, OH
| | |
| 23-01609 | 03/22/2024 | Claimant(s): Dawne Ferland
Claimant Lawyers(s): Louis H. Miron
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Barry Goldman, Kyle E Higgason, John G Banner
Hearing Site: Cincinnati, OH
| | |
| 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
| | |
| 23-01368 | 01/23/2024 | Claimant(s): William Brown
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James & Associates., Legg Mason Wood Walker, R. H. York & Company.
Respondent Lawyers(s): Laura Ruiz Rivera, Lawrence York, Rosemary Francavilla
Arbitrator(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
| | |
| 20-04184 | 12/21/2023 | Claimant(s): Michael Codispoti
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Robert David Epstein, Mark A. Sipper, John William Diether
Hearing Site: Cincinnati, OH
|  | Expungement |
| 22-00198 | 10/19/2023 | Claimant(s): Elizabeth Darley, Louise Hindert, Martha Jones 1999 GST UA dtd 01/25/99, Martha W. Jones Trust U/A DTD 01/25/99
Claimant Lawyers(s): Jared Levy
Respondent(s): Robert W. Baird & Co. Incorporated, Michael Coombe, Tucker Coombe
Respondent Lawyers(s): Culver V. Halliday, David S. Bloomfield, Robert P. Johnson
Arbitrator(s): Michael L. Lyons, Joseph R Soraghan, David S. Blessing
Hearing Site: Cincinnati, OH
| | $2,658,900 |
| 22-02941 | 07/11/2023 | Claimant(s): William Mitchell
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Robert David Epstein
Hearing Site: Cincinnati, OH
| | |
| 22-02714 | 06/21/2023 | Claimant(s): James Alonge
Claimant Lawyers(s): James A. Alonge
Respondent(s): Gregory Romes
Respondent Lawyers(s): David Markun
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | $213 |
| 22-01770 | 12/09/2022 | Claimant(s): Michael Walters
Claimant Lawyers(s): Michael Walters
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | $0 |
| 22-00167 | 11/07/2022 | Claimant(s): John Schmidt
Claimant Lawyers(s): John Gregory Schmidt
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Stephen P. Calardo, Gary B. Deutsch, Joseph Patrick Cottingham
Hearing Site: Cincinnati, OH
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