| 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
| | |
| 08-01369 | 05/10/2010 | Claimant(s): Diane Zodikoff, John Rausch
Claimant Lawyers(s): Amanda P. Lenhart
Respondent(s): Ameriprise Advisor Services., Robert Bilo
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Peter L. Pointer, James P. McCrocklin, Edmund P. Pultinas
Hearing Site: Cincinnati, OH
|  | $56,978 |
| 08-04072 | 03/10/2010 | Claimant(s): Commonwealth Financial Network
Claimant Lawyers(s): Michael G. Donovan
Respondent(s): David Vorbeck, F. Dunnuck
Respondent Lawyers(s): Paul D. Vink
Arbitrator(s): Peter L. Pointer, Patrick J. Burley, Jeffrey Richard Chiappetta
Hearing Site: Indianapolis, IN
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| 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
| | |
| 07-03076 | 10/01/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): M. Barker
Respondent Lawyers(s): Tracy Barker
Arbitrator(s): James Clifton Stone, Peter L. Pointer, John C. Schenkenfelder
Hearing Site: Cincinnati, OH
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| 08-00466 | 08/12/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Thomas Banus
Respondent Lawyers(s): Mark R. Thierman
Arbitrator(s): Peter L. Pointer, Robert G. Conway, Ralph L. Corton
Hearing Site: Cleveland, OH
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| 08-02414 | 06/05/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Donald Dormody
Respondent Lawyers(s): Timothy J. Koral
Arbitrator(s): Peter L. Pointer, Steven L. Wasserman, Jeffrey V. Gery
Hearing Site: Cleveland, OH
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| 08-00951 | 11/20/2008 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Richard McCrea
Respondent Lawyers(s): Richard Porter McCrea
Arbitrator(s): Peter L. Pointer, Jay S. Ferrier, C. Robert Rittberger
Hearing Site: Cleveland, OH
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| 07-01351 | 02/12/2008 | Claimant(s): Anthony Bosco
Claimant Lawyers(s): Anthony Joseph Bosco
Respondent(s): Nationwide Investment Services Corp.
Respondent Lawyers(s): Natalie T. Furniss
Arbitrator(s): Peter L. Pointer, Harlita R. Tomlinson, Christy K. Radigan
Hearing Site: Columbus, OH
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