| 11-02740 | 11/01/2012 | Claimant(s): Wanda L. Lombardo Rev. Trust
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Charles H. Maguire, Charles D. Underwood, Stephen P. Calardo
Hearing Site: Cincinnati, OH
|  | Expungement |
| 11-01103 | 10/22/2012 | Claimant(s): Thomas Vogel, Thomas Vogel IRA
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Bill Swinford, James A. Melfi, Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $0 |
| 11-01491 | 09/14/2012 | Claimant(s): Mark Dickman
Claimant Lawyers(s): Cindy Peters
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Lisa Shusterman, Debora A. Caley, Jeff VanWay
Hearing Site: Cincinnati, OH
| | |
| 11-03756 | 09/10/2012 | Claimant(s): Forrest Sutherland
Claimant Lawyers(s): Cassaundra L. Edwards
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Scott H Litwin, Jeffrey M. Bain, Barbara Black
Hearing Site: Cincinnati, OH
| | $0 |
| 11-03142 | 08/15/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Kelly Carney
Respondent Lawyers(s): Richard S. Wayne
Arbitrator(s): Charles D. Underwood
Hearing Site: Cincinnati, OH
| | |
| 11-03941 | 05/02/2012 | Claimant(s): Neema Nourian
Claimant Lawyers(s): Neema Nourian
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | $163 |
| 11-00807 | 02/15/2012 | Claimant(s): Kwame Boateng
Claimant Lawyers(s): A. Brian McIntosh
Respondent(s): Danielle Schmidt, Kevin Martin, Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Kevin R. McDermott
Hearing Site: Cincinnati, OH
| | Stipulated Award and Expungement |
| 10-05514 | 02/13/2012 | Claimant(s): Steven Cline
Claimant Lawyers(s): Matthew R. Chasar
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Adrienne L. Rapp
Arbitrator(s): Carol M. Stoner
Hearing Site: Cincinnati, OH
| | |
| 11-01899 | 02/09/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): John Newkirk
Respondent Lawyers(s): John Marcus Newkirk
Arbitrator(s): Thomas C. Wagner
Hearing Site: Cincinnati, OH
| | |
| 10-04362 | 11/04/2011 | Claimant(s): Emil Royers, Mary Royers
Claimant Lawyers(s): Rick Royers
Respondent(s): Anthony Pitstick, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Bert S Cliff, Harlita R. Tomlinson, Stephen John Schaller
Hearing Site: Cincinnati, OH
| | Expungement |
