| 14-00467 | 07/20/2016 | Claimant(s): Bruce Botts, Lynne Botts
Claimant Lawyers(s): Bruce Botts, Lynne Botts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Bill Swinford, Jeffrey M. Bain, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
|  | Expungement |
| 09-01561 | 08/12/2010 | Claimant(s): James Tekavec
Claimant Lawyers(s): Neil D. Petkovic
Respondent(s): Frank Cunnane
Respondent Lawyers(s): Robert N. Rapp
Arbitrator(s): Frank C. Fogl, Harold Dean Tolbert, Ralph A. Beard
Hearing Site: Cleveland, OH
| | |
| 08-01973 | 04/27/2010 | Claimant(s): The Minette B. Fisher Family Trust, The Nanette L. Fisher Family Trust, The Roe Green Foundation, The Roe Green Trust
Claimant Lawyers(s): James F. Koehler
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Robert Lewandowski, Roger Baranovic, Schwab Investments, The Charles Schwab Corporation
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ellen Holland Keller, Kathleen P. Helbig-Hannan, Harold Dean Tolbert
Hearing Site: Cleveland, OH
| | $310,074 |
| 08-00780 | 01/19/2010 | Claimant(s): Joe Carico
Claimant Lawyers(s): Douglas V. Reynolds
Respondent(s): Marsha Adkins, Merrill Lynch Pierce Fenner & Smith Inc., Robert Powers
Respondent Lawyers(s): John A. Rollins, Terry R. Weiss
Arbitrator(s): Arnold M. Malech, Donald B. Vaden, Harold Dean Tolbert
Hearing Site: Charleston, WV
| | $0 |
| 08-00674 | 12/02/2009 | Claimant(s): Alma F. Hollingsworth, IRA, Paul Hollingsworth, Paul and Alma F. Hollingsworth, Trustees
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Michael R. Robinson
Arbitrator(s): David W. Stanton, Belinda M. Ohlinger, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $57,882 |
| 07-03128 | 12/17/2008 | Claimant(s): Walter A. Flick & Judith R. Flick JTWROS
Claimant Lawyers(s): David S. Blessing
Respondent(s): Russell Stansell, Kovack Securities Inc.
Respondent Lawyers(s): Brian Kovack, Russell Dean Stansell
Arbitrator(s): Bill Swinford, Alex H. Keller, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $52,515 |
