| 13-03758 | 08/06/2015 | Claimant(s): Alexander Walbridge Rumpf, Nancy Cornell Rumpf, Samuel Thayer Rumpf
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Carter Smith, Jeffrey Catlin, Jeffrey Smith, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Robert H. Baker
Hearing Site: Cleveland, OH
|  | Expungement |
| 13-02950 | 07/16/2015 | Claimant(s): The Polk Family 2000 Descendants Trust
Claimant Lawyers(s): Jerald L. Moss
Respondent(s): Stifel, Nicolaus & Co.., Kenneth Reeves
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Jason C. Blackford
Hearing Site: Cleveland, OH
| | $143,470 |
| 14-02746 | 04/29/2015 | Claimant(s): Jack Darby
Claimant Lawyers(s): T John Kirk
Respondent(s): Sanjay Bhargava
Respondent Lawyers(s): Neil D. Petkovic
Arbitrator(s): Richard W. Dissen
Hearing Site: Cleveland, OH
| | $32,907 |
| 13-02870 | 04/24/2015 | Claimant(s): Ignacio Covarrubias
Claimant Lawyers(s): Ignacio Covarrubias
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Gregory P. Szuter, Daniel G. Zeiser, Harvey Michael Rosenberg
Hearing Site: Cleveland, OH
| | |
| 13-00769 | 04/01/2015 | Claimant(s): Patricia Marriott
Claimant Lawyers(s): Joshua R. Cohen
Respondent(s): Brian Hobbs, Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky, Joseph D. Carney
Arbitrator(s): John T. Meredith, John D. Baird, John C. Aten
Hearing Site: Cleveland, OH
| | Expungement |
| 13-02062 | 03/10/2015 | Claimant(s): Brian Lehner
Claimant Lawyers(s): Brian J Laliberte
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Richard W. Dissen, Mary K. Flask, Dieter Domanovic
Hearing Site: Cleveland, OH
| | |
| 14-00286 | 03/03/2015 | Claimant(s): Jon Arnold
Claimant Lawyers(s): Douglas R. Jennings
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): C. Robert Rittberger, Amy L. Wachs, Kevin Brodar
Hearing Site: Cleveland, OH
| | |
| 14-01022 | 02/13/2015 | Claimant(s): Cynthia Pugliano
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Securities America.
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Daniel G. Zeiser
Hearing Site: Cleveland, OH
| | $50,600 |
| 13-02247 | 01/15/2015 | Claimant(s): Donna Novak, Henry Novak
Claimant Lawyers(s): Adam M. Green
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): James Patrick Graven
Hearing Site: Cleveland, OH
| | Expungement |
| 14-00779 | 01/08/2015 | Claimant(s): Mashume Akpo-Esambe
Claimant Lawyers(s): Mashume Akpo-Esambe
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Thomas H. Barnard
Hearing Site: Cleveland, OH
| | $0 |
