| 15-02710 | 08/05/2016 | Claimant(s): Ronald Judd
Claimant Lawyers(s): Michael R. Schmidt
Respondent(s): Morgan Stanley, Max Van Benschoten, Ronny Bass
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Lisa Shusterman, Linda M. Foster-Wells, Gerald W. Hepp
Hearing Site: Cincinnati, OH
|  | Expungement |
| 13-01667 | 02/10/2015 | Claimant(s): John Frencl
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Lisa Shusterman, Coleman Robert Perry, Billy G. Hopkins
Hearing Site: Louisville, KY
| | Expungement |
| 14-00382 | 01/29/2015 | Claimant(s): William Allen
Claimant Lawyers(s): Michael C. Keating
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): J. Curtis McCubbin
Arbitrator(s): Lisa Shusterman
Hearing Site: Indianapolis, IN
| | $0 |
| 12-01099 | 05/13/2013 | Claimant(s): Jamie Kaufman, Jeffery Jordan
Claimant Lawyers(s): David P. Meyer
Respondent(s): ProEquities.
Respondent Lawyers(s): Melinda L. Peevy
Arbitrator(s): Lisa Shusterman, Christy K. Radigan, Regina F. Burch
Hearing Site: Columbus, OH
| | $0 |
| 11-01491 | 09/14/2012 | Claimant(s): Mark Dickman
Claimant Lawyers(s): Cindy Peters
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Lisa Shusterman, Debora A. Caley, Jeff VanWay
Hearing Site: Cincinnati, OH
| | |
| 11-04253 | 05/08/2012 | Claimant(s): Herbert Jacobs
Claimant Lawyers(s): Herbert L. Jacobs
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins
Arbitrator(s): Lisa Shusterman
Hearing Site: Cleveland, OH
| | $0 |
| 10-04839 | 02/10/2012 | Claimant(s): John Tubbs
Claimant Lawyers(s): John T. Tubbs
Respondent(s): Rowena Ruff
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Lisa Shusterman
Hearing Site: Louisville, KY
| | $0 |
| 11-02487 | 12/01/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Daniel Dennison
Respondent Lawyers(s): Daniel Charles Dennison
Arbitrator(s): Lisa Shusterman
Hearing Site: Indianapolis, IN
| | |
| 08-01389 | 05/26/2010 | Claimant(s): Paul Gosiger
Claimant Lawyers(s): Russell S. Sayre
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Hasan Ibrahim
Arbitrator(s): Lisa Shusterman, Harlita R. Tomlinson, Marc E. Henn
Hearing Site: Cincinnati, OH
| | $24,549 |
| 05-04592 | 10/05/2007 | Claimant(s): Vinu and Smita Patel
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Jigar Patel, Merrill Lynch Pierce Fenner & Smith Inc., Michael Miros
Respondent Lawyers(s): D. Michael O'Neil, Philip D. Sever
Arbitrator(s): Wallace E. Sarran, David W. Stanton, Lisa Shusterman
Hearing Site: Cincinnati, OH
| | Expungement |
