| 10-03967 | 04/04/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gregory Januleski
Respondent Lawyers(s): Gregory John Januleski
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Cincinnati, OH
| | |
| 09-01374 | 11/29/2010 | Claimant(s): Zachary Sech
Claimant Lawyers(s): George M. Reul
Respondent(s): David Singer, Joseph Evelo, UBS Financial Services Inc., Linnell Sullivan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi, James L. Komie, Russell S. Sayre
Arbitrator(s): Emily J. Lewis, Regina F. Burch, A. Brian McIntosh
Hearing Site: Cincinnati, OH
| | |
| 09-00200 | 11/22/2010 | Claimant(s): John Grimes
Claimant Lawyers(s): John W. Grimes
Respondent(s): Roy Neal, 1717 Capital Management Company
Respondent Lawyers(s): Joseph J. Dehner, Natalie T. Furniss
Arbitrator(s): Bert S Cliff, Bill Swinford, Robert Economou
Hearing Site: Cincinnati, OH
|  | $0 |
| 10-01781 | 07/01/2010 | Claimant(s): Fidelity Brokerage Services LLC, FMR LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Andrew Hermes, Steven O'connor, William Doepker
Respondent Lawyers(s): Grant S. Cowan
Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Miles D. Hart
Hearing Site: Cincinnati, OH
| | |
| 09-05218 | 06/09/2010 | Claimant(s): Ross, Sinclaire & Associates
Claimant Lawyers(s): Louis F. Solimine
Respondent(s): Clayton Lowell & Conger.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Thomas J. McAllister
Hearing Site: Cincinnati, OH
| | |
| 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 |
| 08-01369 | 05/10/2010 | Claimant(s): Diane Zodikoff, John Rausch
Claimant Lawyers(s): Amanda P. Lenhart
Respondent(s): Ameriprise Advisor Services., Robert Bilo
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Peter L. Pointer, James P. McCrocklin, Edmund P. Pultinas
Hearing Site: Cincinnati, OH
| | $56,978 |
| 09-00064 | 03/16/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Widener
Respondent Lawyers(s): Thomas S. Widener
Arbitrator(s): Bert S Cliff, Scott H Litwin, John R. Michael
Hearing Site: Cincinnati, OH
| | |
| 08-02905 | 03/03/2010 | Claimant(s): Bruce Rogovin
Claimant Lawyers(s): Steve Rogovin
Respondent(s): Charles Schwab & Co.., Robert Lewandowski, Charles Schwab Investment Management, In, Schwab Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Barbara E. Dixon
Hearing Site: Cincinnati, OH
| | Stipulated Award and Expungement |
| 08-00674 | 12/02/2009 | Claimant(s): Alma F. Hollingsworth, IRA, Paul Hollingsworth, Paul and Alma F. Hollingsworth, Trustees
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Michael R. Robinson
Arbitrator(s): David W. Stanton, Belinda M. Ohlinger, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $57,882 |
