| 08-05028 | 04/30/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Boyd
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Earl Williams, Howard A. Slater, MBA, CFP, ChFC, Shelly A. Goering
Hearing Site: Cleveland, OH
| | |
| 08-01973 | 04/27/2010 | Claimant(s): The Minette B. Fisher Family Trust, The Nanette L. Fisher Family Trust, The Roe Green Foundation, The Roe Green Trust
Claimant Lawyers(s): James F. Koehler
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Robert Lewandowski, Roger Baranovic, Schwab Investments, The Charles Schwab Corporation
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ellen Holland Keller, Kathleen P. Helbig-Hannan, Harold Dean Tolbert
Hearing Site: Cleveland, OH
|  | $310,074 |
| 09-03112 | 04/01/2010 | Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha F. McDugald
Respondent(s): John Defini
Respondent Lawyers(s): John Defini
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 08-04976 | 02/09/2010 | Claimant(s): Albert LaCava
Claimant Lawyers(s): Albert V. LaCava
Respondent(s): Bruce Dyer, John Egan, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Robert G. Conway, Marc A. Winters, John T. Meredith
Hearing Site: Cleveland, OH
| | |
| 09-03315 | 01/21/2010 | Claimant(s): Sandra Vincent
Claimant Lawyers(s): Jeffrey A. Sellers
Respondent(s): Richard Fishbach, Ferris, Baker Watts, RBC Capital Markets LLC
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
| | $0 |
| 07-02960 | 12/01/2009 | Claimant(s): Trinity United Methodist Church
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): George Franz, Allegheny Investments, LTD
Respondent Lawyers(s): Ari H. Jaffe, James F. Koehler
Arbitrator(s): Jeffrey M. Bain, Thomas R. Skulina
Hearing Site: Cleveland, OH
| | $110,900 |
| 08-02090 | 11/25/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): John Lagattuta
Respondent Lawyers(s): Charles K. Webster
Arbitrator(s): Bert S Cliff, N. John Marinack, David Darrah
Hearing Site: Cleveland, OH
| | |
| 08-02689 | 09/03/2009 | Claimant(s): Victoria Williamson
Claimant Lawyers(s): Richard R. Malone
Respondent(s): Monica Malhoit, Prudential Equity Group
Respondent Lawyers(s): John J. Murphy, William R. Ahern
Arbitrator(s): Benjamin B. Segel, Marianne L. Simpson, Ralph A. Beard
Hearing Site: Cleveland, OH
| | $0 |
| 08-00466 | 08/12/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Thomas Banus
Respondent Lawyers(s): Mark R. Thierman
Arbitrator(s): Peter L. Pointer, Robert G. Conway, Ralph L. Corton
Hearing Site: Cleveland, OH
| | |
| 07-01543 | 07/31/2009 | Claimant(s): Eugene Marquardt
Claimant Lawyers(s): David W. Neel
Respondent(s): Brian Brennan, John Schlifer, Patricia Wyant, KeyBanc Capital Markets., KeyCorp
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): James Dale Ellis, Robert M. Shwab, John C. Aten
Hearing Site: Cleveland, OH
| | |
