| 09-07116 | 08/05/2010 | Claimant(s): David J Foster Charles Schwab & Co Inc
Claimant Lawyers(s): David P. Meyer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Kevin R. Zehe
Hearing Site: Columbus, OH
|  | $0 |
| 08-01874 | 06/29/2010 | Claimant(s): Associated Financial Group.
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Thomas Ensign, Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming, Thomas Ensign
Arbitrator(s): Charles D. Underwood, David W. Stanton, Erick R. Zanner
Hearing Site: Columbus, OH
| | |
| 09-00560 | 06/18/2010 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Brad Sweatland, UBS Financial Services Inc.
Respondent Lawyers(s): Brad Sweatland, Wm. Joseph Baker
Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Wiley H. Clodfelder
Hearing Site: Columbus, OH
| | Settlement |
| 09-05197 | 04/12/2010 | Claimant(s): Warren A. Powers Trust
Claimant Lawyers(s): Terry J. Powers
Respondent(s): Kevin WichmanL Financial Corporation
Respondent Lawyers(s): Ralph DiChiara
Arbitrator(s): Thomas R. Skulina
Hearing Site: Columbus, OH
| | $0 |
| 09-05188 | 04/08/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffery Westerman
Respondent Lawyers(s): Jeffery Luke Westerman
Arbitrator(s): Robert P. Fogarty, Alex H. Keller, Dale A. Crawford
Hearing Site: Columbus, OH
| | |
| 09-05258 | 04/08/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): David Moore
Respondent Lawyers(s): David N. Moore
Arbitrator(s): W. Pat Conners, Thomas J. McAllister, Erwin John Dugasz
Hearing Site: Columbus, OH
| | |
| 09-05832 | 03/09/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Shawn Menz
Respondent Lawyers(s): Shawn Menz
Arbitrator(s): Edward M. Olson
Hearing Site: Columbus, OH
| | |
| 09-01606 | 03/09/2010 | Claimant(s): Robert Jones
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Ford
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Charles D. Underwood, Robin R. Mathews, Matthew Harold Fields
Hearing Site: Columbus, OH
| | $568,798 |
| 09-04061 | 02/18/2010 | Claimant(s): Joel Handorf
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Charles Luttjohann, Charles D. Luttjohann, IRRA
Respondent Lawyers(s): Martin B. Greenbaum
Arbitrator(s): Charles D. Underwood, Matthew Harold Fields
Hearing Site: Columbus, OH
| | Expungement |
| 09-00423 | 11/30/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher C. Young
Respondent(s): Raymond Jackson
Respondent Lawyers(s): Gregory N. Finnerty
Arbitrator(s): Peter L. Pointer, Charles D. Underwood, Regina F. Burch
Hearing Site: Columbus, OH
| | |
