| 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
| | |
| 22-00198 | 10/19/2023 | Claimant(s): Elizabeth Darley, Louise Hindert, Martha Jones 1999 GST UA dtd 01/25/99, Martha W. Jones Trust U/A DTD 01/25/99
Claimant Lawyers(s): Jared Levy
Respondent(s): Robert W. Baird & Co. Incorporated, Michael Coombe, Tucker Coombe
Respondent Lawyers(s): Culver V. Halliday, David S. Bloomfield, Robert P. Johnson
Arbitrator(s): Michael L. Lyons, Joseph R Soraghan, David S. Blessing
Hearing Site: Cincinnati, OH
|  | $2,658,900 |
| 21-01994 | 03/24/2022 | Claimant(s): Avery Wolinsky, Benjamin Wolinsky, Carol Avery, Robert Wolinsky, Nexial Investment Club
Claimant Lawyers(s): Avery Beau Wolinsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Michael L. Lyons, James A. McIntosh, Mark Alan Bond
Hearing Site: Louisville, KY
| | Dismissed by Rule 12206 |
| 19-02867 | 04/05/2021 | Claimant(s): Michael Reis
Claimant Lawyers(s): Sheilah R. McLaughlin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Michael L. Lyons, Gregory Hunter Mathews, John J. Mager
Hearing Site: Augusta, ME
| | |
| 19-02197 | 01/11/2021 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Michael Naccarato
Respondent(s): John Schmidt
Respondent Lawyers(s): John Greg Schmidt
Arbitrator(s): Michael L. Lyons, Michael J. Meeusen, Scott C. Matasar
Hearing Site: Cincinnati, OH
| | |
| 20-00837 | 12/22/2020 | Claimant(s): Geoffrey McCash
Claimant Lawyers(s): Edward Scott Zusman
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Michael L. Lyons
Hearing Site: Columbus, OH
| | |
| 19-02027 | 01/10/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jessica Klein
Respondent(s): James Johnson
Respondent Lawyers(s): James E. Johnson
Arbitrator(s): Michael L. Lyons
Hearing Site: Columbus, OH
| | |
| 16-03516 | 10/12/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Terrence Puricelli
Respondent Lawyers(s): Bryan P. Cavanaugh
Arbitrator(s): Michael L. Lyons, Jonathan B. Gilbert, David E. Bailey
Hearing Site: St. Louis, MO
| | |
| 18-01056 | 09/24/2018 | Claimant(s): Debra Mandrell
Claimant Lawyers(s): Debra A. Mandrell
Respondent(s): Edward Jones, Luke Connell
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Michael L. Lyons
Hearing Site: St. Louis, MO
| | $0 |
| 17-01184 | 05/25/2018 | Claimant(s): Agnes Harris, Donald Harris, Trustees of their Retirement Accounts, Trustees of Their Family Trust
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): LPL Financial LLC, Robert Mitchell
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Michael L. Lyons, Tracy L. Allen, Brian Clinton Underwood
Hearing Site: St. Louis, MO
| | Expungement |
