| 13-01535 | 11/22/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Matthew Staten
Respondent Lawyers(s): Matthew W. Staten
Arbitrator(s): Gregory P. Szuter
Hearing Site: Columbus, OH
| | |
| 12-03726 | 10/10/2013 | Claimant(s): Jon Arnold
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, John B. Glueckert
Hearing Site: Columbus, OH
| | |
| 12-02336 | 10/08/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Melissa L. Zujkowski
Respondent(s): Brent Markley
Respondent Lawyers(s): John M. Gonzales
Arbitrator(s): Peter L. Pointer, W. Sean Kelleher, Carol M. Stoner
Hearing Site: Columbus, OH
| | |
| 11-04766 | 08/29/2013 | Claimant(s): Chester Scott, Michael Buckingham, Peter Accetta, Ronald Pyka, Suzanne Rusconi Accetta Revocable Trust
Claimant Lawyers(s): Marion H. Little
Respondent(s): Multi-Financial Securities Corporation
Respondent Lawyers(s): Chetan S. Patil
Arbitrator(s): Frank C. Fogl, Erwin John Dugasz, Larry Moore
Hearing Site: Columbus, OH
|  | $111,000 |
| 13-00324 | 08/19/2013 | Claimant(s): Virginia Nichols
Claimant Lawyers(s): Howard W. Slutsky
Respondent(s): Christopher Roberts, U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kevin R. McDermott
Hearing Site: Columbus, OH
| | $3,713 |
| 12-03758 | 08/15/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): M. Will
Respondent Lawyers(s): William A. Settina
Arbitrator(s): W. Sean Kelleher
Hearing Site: Columbus, OH
| | |
| 12-00217 | 08/09/2013 | Claimant(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
| | Expungement |
| 12-02374 | 07/26/2013 | Claimant(s): Stanley Meyerson, TIA Group
Claimant Lawyers(s): Ross P. Tulman, Stanley F. Meyerson
Respondent(s): Williams Trading LLC
Respondent Lawyers(s): Jeffrey Norton
Arbitrator(s): John T. Meredith
Hearing Site: Columbus, OH
| | |
| 12-03995 | 07/26/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): Danny Yarnell
Respondent Lawyers(s): Danny Leroy Yarnell
Arbitrator(s): W. Sean Kelleher
Hearing Site: Columbus, OH
| | |
| 12-03280 | 07/12/2013 | Claimant(s): Michael and Germayne Tizzano
Claimant Lawyers(s): Michael J. Tizzano
Respondent(s): Craig Sutherland, Money Concepts Capital Corp.
Respondent Lawyers(s): Robert N. Rapp
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Columbus, OH
| | $10,472 |
