09-02809 | 10/19/2009 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): John T. McGuire Respondent(s): Michael Wheatley Respondent Lawyers(s): Michael J. Wheatley Arbitrator(s): Patrick J. Burley Hearing Site: Cincinnati, OH
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07-03076 | 10/01/2009 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Diane C. Fischer Respondent(s): M. Barker Respondent Lawyers(s): Tracy Barker Arbitrator(s): James Clifton Stone, Peter L. Pointer, John C. Schenkenfelder Hearing Site: Cincinnati, OH
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08-02881 | 06/30/2009 | Claimant(s): Carlos Reisen Claimant Lawyers(s): William A. Healy Respondent(s): J.J.B. Hilliard, W.L. Lyons Respondent Lawyers(s): Thomas B. Lewis Arbitrator(s): Philip C. Johnston, Alex H. Keller, Marilyn R. Rathbun Hearing Site: Cincinnati, OH
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08-05002 | 06/04/2009 | Claimant(s): Howard Winston Claimant Lawyers(s): Howard Winston Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Kevin R. McDermott Hearing Site: Cincinnati, OH
| | $88 |
08-00029 | 05/29/2009 | Claimant(s): Craig Roberts, Pennie Roberts, Pennie L. Roberts Rev. Trust Claimant Lawyers(s): A. Brian McIntosh Respondent(s): Wachovia Securities, Patrick Sowers, Scottrade. Respondent Lawyers(s): Andrew C. Small, Brent J. Burtin Arbitrator(s): W. Pat Conners, John S. Weisheit, Edmund P. Pultinas Hearing Site: Cincinnati, OH
| | $0 |
04-05235 | 03/13/2009 | Claimant(s): The Frazier Family Trust Claimant Lawyers(s): William B. Young Respondent(s): Citigroup Global Markets., Jack B. Grubman Respondent Lawyers(s): David A. Travin Arbitrator(s): Neal D. Baker Hearing Site: Cincinnati, OH
| | $0 |
08-00620 | 03/10/2009 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Diane C. Fischer Respondent(s): John Kopeck Respondent Lawyers(s): Susan M. Guerette Arbitrator(s): John B. Glueckert, Patrick J. Burley, Stanley Kenneth Evans Hearing Site: Cincinnati, OH
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08-00980 | 12/19/2008 | Claimant(s): Eddie Miller Claimant Lawyers(s): Kenneth W. Scott Respondent(s): Donna Haynes, James Popp, Sally Weinkam, Susan Meyers, PNC Investments Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Lawrence Reginald Wagner, Gary P. Price, Jan M. West Hearing Site: Cincinnati, OH
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07-03128 | 12/17/2008 | Claimant(s): Walter A. Flick & Judith R. Flick JTWROS Claimant Lawyers(s): David S. Blessing Respondent(s): Russell Stansell, Kovack Securities Inc. Respondent Lawyers(s): Brian Kovack, Russell Dean Stansell Arbitrator(s): Bill Swinford, Alex H. Keller, Harold Dean Tolbert Hearing Site: Cincinnati, OH
| | $52,515 |
07-03545 | 10/17/2008 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Gerald T. Rohrer Respondent(s): Joshua Fortin Respondent Lawyers(s): Joshua Standish Fortin Arbitrator(s): Robert P. Fogarty, Patrick J. Burley, Daniel R. LaMacchia Hearing Site: Cincinnati, OH
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