| 12-01156 | 01/23/2013 | Claimant(s): William Glubiak
Claimant Lawyers(s): Sara E. Scott
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | |
| 12-00944 | 01/02/2013 | Claimant(s): George Katsikas, Scott Katsikas
Claimant Lawyers(s): Eric S. Zell
Respondent(s): Peter Peterson, Aspen Capital Partners, Pointe Atlantic.
Respondent Lawyers(s): Company President, Peter M. Peterson, Sandra Ann Sutter
Arbitrator(s): Thomas C. Wagner, I. Bernard Trombetta, Shelly A. Goering
Hearing Site: Cleveland, OH
|  | $433,450 |
| 11-04498 | 11/29/2012 | Claimant(s): Joseph Lacare
Claimant Lawyers(s): Paul J. Mooney
Respondent(s): David Lemond, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Robert Rapp, Jeffrey M. Bain, Thomas R. Skulina
Hearing Site: Cleveland, OH
| | Expungement |
| 11-02643 | 11/20/2012 | Claimant(s): Martin Leibowitz
Claimant Lawyers(s): Joseph D. Carney
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Robert Rapp, Kathleen P. Helbig-Hannan, Robert M Lustig
Hearing Site: Cleveland, OH
| | $0 |
| 12-01717 | 11/19/2012 | Claimant(s): Karen L. Milia, IRA, Mark S. Milia
Claimant Lawyers(s): Mark S. Milia
Respondent(s): Christian Hammer-Huber, Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
| | $0 |
| 11-02078 | 11/09/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jerry M. Santangelo
Respondent(s): Robert McCulloch, Hunter Associates.
Respondent Lawyers(s): Lori Vinciguerra
Arbitrator(s): Edward L. Roth, Eugene M. Schloss, Lane Alan Montz
Hearing Site: Cleveland, OH
| | |
| 10-01677 | 09/11/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey Zachter
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
| | |
| 10-05119 | 09/11/2012 | Claimant(s): Estate of Richard Greenfield, Anna Greenfield Trust
Claimant Lawyers(s): Anthony J. Hartman
Respondent(s): Bradley Schlang, David Spinar, Debra Hansen, Dennis King, Douglas Fehr, James Heeney, James Nagengast, Jay Idt, Securities America., Kevin Miller, Lamar Jones, Michael Perlmuter, Pamela Wertheim, Randy Schneider, Scott Cross, Scott Hoyt, Steven Mcwhorter, W. Cross, Securities America Advisors.
Respondent Lawyers(s): Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Robert G. Conway, Gregory P. Szuter, Leroy Burton Parks
Hearing Site: Cleveland, OH
| | Expungement |
| 11-02646 | 08/16/2012 | Claimant(s): Virginia Bond Patchen
Claimant Lawyers(s): Scott M. Hare
Respondent(s): Pershing LLC, Kevin Miller, Thomas Virostek, Northwestern Mutual Investment Services,, Northwestern Mutual Wealth Management Co, The Northwestern Mutual Life Insurance C
Respondent Lawyers(s): James A. McGovern, Joseph S.D. Christof II
Arbitrator(s): Ellen Holland Keller, Thomas H. Barnard, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 11-02886 | 07/09/2012 | Claimant(s): George Foster
Claimant Lawyers(s): George Foster
Respondent(s): Shawn Baldwin, CMG Institutional Trading LLC
Respondent Lawyers(s): Shawn Derrick Baldwin, Shawn Baldwin
Arbitrator(s): Beth Rackley Hesselson, Mary K. Flask, Carol Jean Bader
Hearing Site: Cleveland, OH
| | $100,500 |
