| 15-00301 | 10/05/2015 | Claimant(s): Claudia Billings, Claudia A. and Robert M. Billings
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Kevin Fifer, Capital City Securities, Regis Asset Management LLC
Respondent Lawyers(s): Dennis J. Concilla, Kevin L. Fifer, Robert K. Cargin
Arbitrator(s): Charles D. Underwood
Hearing Site: Columbus, OH
|  | $37,912 |
| 15-00028 | 07/31/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Adam Pekor
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): W. Sean Kelleher
Hearing Site: Columbus, OH
| | |
| 14-00178 | 06/04/2015 | Claimant(s): Mary Meyers
Claimant Lawyers(s): Mary Meyers
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Stuart D. Summers
Hearing Site: Columbus, OH
| | $1,740 |
| 12-04367 | 05/07/2015 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes
Claimant Lawyers(s): Samuel R. Mauch
Respondent(s): John Offenburger
Respondent Lawyers(s): Stephany D. McLaughlin
Arbitrator(s): Charles D. Underwood, Larry P. Larsen, Robert L. Washburn
Hearing Site: Columbus, OH
| | |
| 13-02309 | 04/14/2015 | Claimant(s): Carter Garnon
Claimant Lawyers(s): Adam P Richards
Respondent(s): NYLife Securities LLC, Thomas Krach, New York Life Insurance Company, New York Life Insurance and Annuity Comp
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Charles D. Underwood, John C. Aten, Matthew Harold Fields
Hearing Site: Columbus, OH
| | |
| 14-02280 | 04/01/2015 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Elizabeth M. HIll
Respondent(s): Jo Fisher
Respondent Lawyers(s): Rose M. Schindler
Arbitrator(s): Charles D. Underwood, John B. Glueckert, Robert L. Washburn
Hearing Site: Columbus, OH
| | |
| 13-01510 | 01/16/2015 | Claimant(s): Ann Molleson
Claimant Lawyers(s): Michael R. Reed
Respondent(s): Fifth Third Securities., John Stiltner, Vasumati Amin
Respondent Lawyers(s): Marion H. Little
Arbitrator(s): Benjamin B. Segel
Hearing Site: Columbus, OH
| | $86,125 |
| 14-00386 | 01/16/2015 | Claimant(s): Jane Kilbourn
Claimant Lawyers(s): Jane C. Kilbourn
Respondent(s): Frederick Fram, Jeffrey Poosch, Summit Brokerage Services.
Respondent Lawyers(s): Michael J. Lang
Arbitrator(s): Kathleen Maher Zouhary
Hearing Site: Columbus, OH
| | $2,215 |
| 13-03376 | 10/02/2014 | Claimant(s): Karen Newbery, IRA
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Stifel, Nicolaus & Co.., James Culver
Respondent Lawyers(s): James Browning, Keith M. Lahay
Arbitrator(s): Charles D. Underwood
Hearing Site: Columbus, OH
| | $0 |
| 13-02746 | 07/10/2014 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Jill Y. Coen
Respondent(s): Matthew Staten
Respondent Lawyers(s): Matthew Wade Staten
Arbitrator(s): W. Sean Kelleher
Hearing Site: Columbus, OH
| | |
