| 12-03083 | 08/01/2014 | Claimant(s): Angela Feagan, J. Thomas Feagan
Claimant Lawyers(s): Brian Herberth
Respondent(s): John Gould, PNC Investments
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain, Susan K. Hollenbach, Stephen P. Calardo
Hearing Site: Cincinnati, OH
|  | Expungement |
| 13-00715 | 07/01/2014 | Claimant(s): Catherine Kiley
Claimant Lawyers(s): Barbara Q. Smith
Respondent(s): David Unsworth, Legend Merchant Group.
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Emily J. Lewis
Hearing Site: Cincinnati, OH
| | $0 |
| 13-02155 | 05/27/2014 | Claimant(s): Michael Folk
Claimant Lawyers(s): Michael Folk
Respondent(s): Dwight Shelley, Kathryn Folk, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Deanna L. Dennison, Lauren E. Ingoldsby
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Cincinnati, OH
| | $0 |
| 12-04150 | 05/20/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Myron Barker
Respondent Lawyers(s): Pamela K. Ginsburg
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | |
| 13-03660 | 05/15/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): Patrick Sullivan
Respondent Lawyers(s): Patrick Joseph Sullivan
Arbitrator(s): Thomas C. Wagner
Hearing Site: Cincinnati, OH
| | |
| 12-02052 | 10/25/2013 | Claimant(s): Anne R. Jones
Claimant Lawyers(s): David S Blessing
Respondent(s): Grover Cook, Oppenheimer & Co..
Respondent Lawyers(s): Grover Keith Cook, Leo Kogan
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | $126,510 |
| 12-04231 | 08/20/2013 | Claimant(s): Securities America.
Claimant Lawyers(s): Christina Heller
Respondent(s): Dennis Pascarella
Respondent Lawyers(s): Dennis Eugene Pascarella
Arbitrator(s): Frank C. Fogl
Hearing Site: Cincinnati, OH
| | |
| 12-01965 | 08/14/2013 | Claimant(s): The Estate of James W. Hassman, Deceased
Claimant Lawyers(s): Robert A. Klingler
Respondent(s): Daryl Demo, UBS Financial Services Inc.
Respondent Lawyers(s): Aaron A. VanderLaan, Mark D. Knoll
Arbitrator(s): Carol M. Stoner, Stephen P. Calardo, Daniel G. Zeiser
Hearing Site: Cincinnati, OH
| | $0 |
| 11-03379 | 03/18/2013 | Claimant(s): J.J.B. Hilliard, W.L. Lyons
Claimant Lawyers(s): Reva D. Campbell
Respondent(s): Jay Otto, Jeffrey Lutz, Morgan Stanley, Tammy Kinstle
Respondent Lawyers(s): Joseph B. Alonso, Salvador M. Hernandez
Arbitrator(s): John B. Glueckert, Gregory P. Szuter, James Stephen Smith
Hearing Site: Cincinnati, OH
| | |
| 12-01220 | 11/30/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brian L. Church
Respondent(s): Robert McMillan
Respondent Lawyers(s): Robert L. McMillan
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | |
