| 23-01349 | 04/11/2024 | Claimant(s): Peter Armstrong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Advisors Asset Management.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Jim Geiger
Hearing Site: Columbus, OH
| | |
| 23-01427 | 02/06/2024 | Claimant(s): Lars Olson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Mark A. Sipper
Hearing Site: Columbus, OH
| | |
| 22-01691 | 02/02/2024 | Claimant(s): Andreas Klein
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Michael L. Lyons, Susan Finefrock, Ann Marie Hansen
Hearing Site: Columbus, OH
| | |
| 22-02483 | 11/03/2023 | Claimant(s): Evelyn Foose
Claimant Lawyers(s): Evelyn Foose
Respondent(s): Richard Reames
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Sandra Mendel Furman, Barbara E. Dixon, Ann Marie Hansen
Hearing Site: Columbus, OH
|  | $0 |
| 22-02025 | 09/28/2023 | Claimant(s): Sandra Diggs
Claimant Lawyers(s): Joseph S. Simms
Respondent(s): State Farm VP Management Corp.
Respondent Lawyers(s): Brooke D. Clarkson
Arbitrator(s): Mark L Miller, Emily J. Lewis, Matthew Harold Fields
Hearing Site: Columbus, OH
| | |
| 23-00032 | 07/05/2023 | Claimant(s): Arthur Rifflard, Arthur Rifflard IRA
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Vincent S. Mezinko
Hearing Site: Columbus, OH
| | $0 |
| 21-00267 | 05/19/2023 | Claimant(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
| | |
| 22-00372 | 01/13/2023 | Claimant(s): Allan Norris, Carol Norris, The Carol D. Norris Estate Planning
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Richard W. Dissen
Hearing Site: Columbus, OH
| | Expungement |
| 21-01563 | 04/05/2022 | Claimant(s): John Barber
Claimant Lawyers(s): Dochtor D. Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Mark A. Sipper
Hearing Site: Columbus, OH
| | |
| 21-00711 | 01/14/2022 | Claimant(s): Adam Hill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Columbus, OH
| | |
