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FINRA Awards for Emily J. Lewis

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Displaying 10 out of 16 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0026705/19/2023Claimant(s): The Huntington Investment Company
Claimant Lawyers(s): Kevin Murch
Respondent(s): Morgan Stanley, Frank Nobile, James Riepenhoff
Respondent Lawyers(s): Jonathan C. Thau, Miles D. Hart
Arbitrator(s): Emily J. Lewis, Nelson E. Genshaft, Susan Finefrock
Hearing Site: Columbus, OH
15-0313802/16/2017Claimant(s): James F. Kerg Revocable Living Trust
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Wells Fargo Advisors Financial Network, Eric Haubert
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Emily J. Lewis, Stephen D Kursman, W Charles Curley
Hearing Site: Columbus, OH
Checkmark IconExpungement
13-0262504/08/2016Claimant(s): David Gilg
Claimant Lawyers(s): James J. Eccleston
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Emily J. Lewis, Richard Charles Miller, Phillip Lawrence Wright
Hearing Site: Columbus, OH
15-0214501/28/2016Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Steven Condit
Respondent Lawyers(s): Steven Bartlett Condit
Arbitrator(s): Emily J. Lewis
Hearing Site: Cincinnati, OH
13-0071507/01/2014Claimant(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
Checkmark Icon$0
12-0021708/09/2013Claimant(s): Samuel Elam, The Samuel F. Elam Rev. Living Trust
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Emily J. Lewis, Louis V. Imundo, Dale A. Crawford
Hearing Site: Columbus, OH
Checkmark IconExpungement
12-0091611/26/2012Claimant(s): The Huntington Investment Company
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Kevin Stryker
Respondent Lawyers(s): Kevin Alston Stryker
Arbitrator(s): Emily J. Lewis
Hearing Site: Columbus, OH
11-0050110/19/2012Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nicoli Grove
Respondent Lawyers(s): Kathleen A. DeLaney
Arbitrator(s): Joseph L. Claypool, Emily J. Lewis, John Andrew Wagner
Hearing Site: Indianapolis, IN
11-0165310/17/2012Claimant(s): Mary R. Brumfield Living Trust, Steven F. Brumfield Living Trust, Steven M. Brumfield Living Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Roger Ruth, MWA Financial Services Inc.
Respondent Lawyers(s): Carlos E. Mustelier, Douglas P. Whipple
Arbitrator(s): Emily J. Lewis, Alex H. Keller, Mary D. Stevenson
Hearing Site: Columbus, OH
Checkmark Icon$600
12-0054106/27/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Michael O'Donnell
Respondent Lawyers(s): Michael Joseph O'Donnell
Arbitrator(s): Emily J. Lewis
Hearing Site: Pittsburgh, PA

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