| 18-02399 | 03/26/2019 | Claimant(s): Jahn Gazder
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Michael J. Meeusen
Hearing Site: Cincinnati, OH
| | |
| 18-01990 | 03/12/2019 | Claimant(s): Robert Coleman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | |
| 17-03220 | 01/09/2019 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A Pickett
Respondent(s): Jay Slouffman, Prospera Financial Services.
Respondent Lawyers(s): John Alten
Arbitrator(s): Stephen P. Calardo, A. Brian McIntosh, David S. Blessing
Hearing Site: Cincinnati, OH
| | |
| 18-01144 | 09/04/2018 | Claimant(s): Edmund F. Turek IMA
Claimant Lawyers(s): Brian T. Giles
Respondent(s): PNC Investments
Respondent Lawyers(s): Jason E. Hazlewood
Arbitrator(s): Stuart D. Summers, Michael J. Meeusen, Gregory P. Szuter
Hearing Site: Cincinnati, OH
|  | $0 |
| 18-00145 | 08/07/2018 | Claimant(s): Ashley Katt
Claimant Lawyers(s): Robert A. Klingler
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell Ahnert
Arbitrator(s): David F. Barrett
Hearing Site: Cincinnati, OH
| | |
| 17-02982 | 07/31/2018 | Claimant(s): Shaun Nicholson
Claimant Lawyers(s): Owen Harnett
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Julius Z. Frager
Hearing Site: Cincinnati, OH
| | |
| 17-01576 | 06/11/2018 | Claimant(s): Julie Dunaway, Mark Dunaway
Claimant Lawyers(s): Robert F. Brown
Respondent(s): Larry Kohn, L.M. Kohn & Company
Respondent Lawyers(s): Joseph J. Dehner
Arbitrator(s): Stephen P. Calardo, Charles A. Palmer, Dale A. Crawford
Hearing Site: Cincinnati, OH
| | $0 |
| 17-01029 | 05/31/2018 | Claimant(s): Martha Jones, William Jones, Martha M. Jones Trust, Neal M. Jones Trust, William H. Jones, III Trust
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Fred Overbeck, Larry Taul, Murray Sinclaire
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Donna L. Pavlick, Janet M. Thompson, Mark A. Sipper
Hearing Site: Cincinnati, OH
| | Expungement |
| 17-03143 | 05/21/2018 | Claimant(s): Thomas Lieser
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Stephen P. Calardo
Hearing Site: Cincinnati, OH
| | |
| 17-02921 | 05/10/2018 | Claimant(s): Elaine Babbitt, Sarah Hedges
Claimant Lawyers(s): Sarah A. Hedges
Respondent(s): Scott Edwards
Respondent Lawyers(s): Sean T. Needham
Arbitrator(s): Stephen P. Calardo
Hearing Site: Cincinnati, OH
| | $14,252 |
