| 15-02354 | 01/22/2016 | Claimant(s): Invest Financial Corporation
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Karrie Parrett
Respondent Lawyers(s): Karrie Renee Parrett
Arbitrator(s): John F. Burns
Hearing Site: Cincinnati, OH
| | |
| 15-00936 | 11/05/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Scott T. Earl
Respondent(s): Eric Eversole
Respondent Lawyers(s): Eric Nathaniel Eversole
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cincinnati, OH
| | |
| 15-00093 | 11/04/2015 | Claimant(s): Michael Kleinfelder
Claimant Lawyers(s): William K. Flynn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew T. Mount
Arbitrator(s): Thomas B. Corey
Hearing Site: Cincinnati, OH
| | |
| 14-03156 | 08/28/2015 | Claimant(s): Scott Singleton
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Cincinnati, OH
|  | $13 |
| 14-02114 | 05/05/2015 | Claimant(s): Ethel M. Cusic Trust
Claimant Lawyers(s): John D. McClure
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Christen M. Steimle
Arbitrator(s): Thomas C. Wagner
Hearing Site: Cincinnati, OH
| | Dismissed by Rule 12206 |
| 14-00180 | 04/21/2015 | Claimant(s): Paul Holland
Claimant Lawyers(s): Paul A. Holland
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | $0 |
| 13-02837 | 03/17/2015 | Claimant(s): The Estate of Harold Zimmerman
Claimant Lawyers(s): Robert R. Sparks
Respondent(s): John Steffen, Raymond James Financial Services., William Nagy, CFD Investments., Creative Financial Designs.
Respondent Lawyers(s): Erin K. Linehan, Paul D. Vink
Arbitrator(s): Stephen P. Calardo, Gregory P. Szuter, A. Brian McIntosh
Hearing Site: Cincinnati, OH
| | $165,148 |
| 14-00879 | 02/18/2015 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): Charles Grimes
Respondent Lawyers(s): David E. Grimes
Arbitrator(s): Susan K. Hollenbach, Randall S. Strause, Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | Expungement |
| 14-00486 | 10/30/2014 | Claimant(s): Jeffrey W. Miller, IRA
Claimant Lawyers(s): Jeffrey W. Miller
Respondent(s): Camille Tavares, Pershing LLC, Robert Michael, Thomas Phillips, First Allied Securities.
Respondent Lawyers(s): Anne K. Yannakakis, Jane Myers
Arbitrator(s): Benjamin B. Segel
Hearing Site: Cincinnati, OH
| | $0 |
| 13-01536 | 08/28/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Wilson Rosebraugh
Respondent Lawyers(s): Deborah DeLong
Arbitrator(s): Scott H Litwin, Carol M. Stoner, Randall S. Strause
Hearing Site: Cincinnati, OH
| | |
