22-01572 | 03/13/2024 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Erika Murdoch Respondent(s): Daryl Demo, Michael Quin, DayMark Wealth Partners Respondent Lawyers(s): Mathew Plant Arbitrator(s): Lawrence W. Arness, Harlita R. Tomlinson, Robert Roth Sparks Hearing Site: Cincinnati, OH
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23-01096 | 12/14/2023 | Claimant(s): Carlos Legaspy Claimant Lawyers(s): Nicholas P. Iavarone Respondent(s): Insight Securities. Respondent Lawyers(s): James Gaafar Arbitrator(s): Lawrence W. Arness, Karl Richard Lukens, David Miller Hearing Site: Chicago, IL
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22-00341 | 05/11/2023 | Claimant(s): Hilltop Securities Inc. Claimant Lawyers(s): Andrew P. Shelby Respondent(s): Daniel Heidkamp, Mark Ritchie, Patrick Tierney, Colliers Securities LLC Respondent Lawyers(s): Michael D. Lee Arbitrator(s): Theodore W. Wrobleski, Lawrence W. Arness, Kristi Lynn Nelson Hearing Site: Chicago, IL
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21-02745 | 03/31/2023 | Claimant(s): Jonathon Merickel Claimant Lawyers(s): Christopher H. Tovar Respondent(s): E*Trade Securities LLC, Laura Catalano Respondent Lawyers(s): Bruce Lewitas Arbitrator(s): Lawrence W. Arness, Lynn Hirschfeld Brahin, Bernadett R DeLise Hearing Site: Chicago, IL
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21-01761 | 11/07/2022 | Claimant(s): Carlos Legaspy Claimant Lawyers(s): Nicholas P. Iavarone Respondent(s): Insight Securities. Respondent Lawyers(s): James Gaafar Arbitrator(s): Lawrence W. Arness, Marilee Roberg, Seymour Andrew Newman Hearing Site: Chicago, IL
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22-00063 | 08/16/2022 | Claimant(s): Steven Laporta Claimant Lawyers(s): Brian Luther Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Lawrence W. Arness Hearing Site: Chicago, IL
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19-03115 | 05/14/2021 | Claimant(s): Carole Rauf Claimant Lawyers(s): Carole Dill Rauf Respondent(s): T. Rowe Price Investment Services., Jennifer Farmer, Romelio Flores Respondent Lawyers(s): Daniel J. Donovan Arbitrator(s): Lawrence W. Arness Hearing Site: Cincinnati, OH
| | $2,467 |
16-01612 | 08/15/2017 | Claimant(s): Patricia Bohanon Claimant Lawyers(s): Steven D. Toskes Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Michael R. Gaico Arbitrator(s): Jim Geiger, Lawrence W. Arness, Mark Christian Travis Hearing Site: Louisville, KY
| | Expungement |
15-03254 | 10/20/2016 | Claimant(s): Mehmet Akin and Adrian Akin Claimant Lawyers(s): Mark E. Maddox Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): William M. Getzoff, Lawrence W. Arness, William Gibson Heller Hearing Site: Indianapolis, IN
| | $0 |
13-03305 | 01/21/2015 | Claimant(s): Jeffrey Webb Claimant Lawyers(s): Lindsay Hurni Lepley Respondent(s): Deborah Romary, Harbor Financial Services, Romary Financial Services. Respondent Lawyers(s): David Hirschberg Arbitrator(s): Stuart D. Summers, Lawrence W. Arness, Sherrill Wm Colvin Hearing Site: Indianapolis, IN
| | $124,288 |