| 08-01162 | 09/22/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Thomas Hodges
Respondent Lawyers(s): Thomas S. Hodges
Arbitrator(s): Emily J. Lewis, John B. Glueckert, Jo Ann Numbers
Hearing Site: Cincinnati, OH
| | Stipulated Award |
| 07-02280 | 09/10/2008 | Claimant(s): Charles Kromer
Claimant Lawyers(s): Megan Clark
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Charles D. Underwood, Debora A. Caley, Christy K. Radigan
Hearing Site: Cincinnati, OH
| | |
| 07-01821 | 04/16/2008 | Claimant(s): Dawne Ferland
Claimant Lawyers(s): Theresa M. Mohan
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nancy Anderson Tayborn
Arbitrator(s): Bill Swinford, Christy C. Walker, Debora A. Caley
Hearing Site: Cincinnati, OH
| | |
| 07-02115 | 03/14/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher J. Carney
Respondent(s): William Hamilton
Respondent Lawyers(s): William Joseph Hamilton
Arbitrator(s): Monette E. Draper, Gary R. Miles, Barbara E. Dixon
Hearing Site: Cincinnati, OH
| | |
| 07-01876 | 01/24/2008 | Claimant(s): Robert Cash
Claimant Lawyers(s): Laura I. Hillerich
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Richard A. Boucher
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Cincinnati, OH
|  | $6,386 |
| 07-01426 | 12/21/2007 | Claimant(s): Kerry Meyer, William Kreyenhagen
Claimant Lawyers(s): Lori A. Ross
Respondent(s): Robert Hogsette, Dawson Corporation, Ltd., Dawson Wealth Management Agency., Multi-Financial Securities.
Respondent Lawyers(s): Marion H. Little
Arbitrator(s): Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $37,154 |
| 06-04247 | 11/06/2007 | Claimant(s): Ethel Vidas, Ethel Vidas Trust Dtd 4/2/1997, Suc.Tr. of the Harry C. Vidas Trust
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Robert H. Griffin
Hearing Site: Cincinnati, OH
| | $91,000 |
| 06-03942 | 10/31/2007 | Claimant(s): The Estate of Sydney G. Smith, Jr.
Claimant Lawyers(s): Bradley R. Hoyt
Respondent(s): Raffi Oghlian, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Raffi Oghlian
Arbitrator(s): Amelia F. Adams, Stuart Arthur Reagan, Peter F. von Meister
Hearing Site: Cincinnati, OH
| | $30,000 |
| 05-04592 | 10/05/2007 | Claimant(s): Vinu and Smita Patel
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Jigar Patel, Merrill Lynch Pierce Fenner & Smith Inc., Michael Miros
Respondent Lawyers(s): D. Michael O'Neil, Philip D. Sever
Arbitrator(s): Wallace E. Sarran, David W. Stanton, Lisa Shusterman
Hearing Site: Cincinnati, OH
| | Expungement |
