| 08-02414 | 06/05/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Donald Dormody
Respondent Lawyers(s): Timothy J. Koral
Arbitrator(s): Peter L. Pointer, Steven L. Wasserman, Jeffrey V. Gery
Hearing Site: Cleveland, OH
| | |
| 06-03052 | 03/02/2009 | Claimant(s): Lawrence Adelman
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): James A. Laurenson, Mitchell B. Goldberg, Blanca E. Ortiz
Hearing Site: Cleveland, OH
| | |
| 07-02012 | 02/27/2009 | Claimant(s): AmTrust Investment Services.
Claimant Lawyers(s): Max E. Dehn
Respondent(s): David Kopsak, Jonathan Mesok, Robbin Guy, Charter One Financial., Charter One Investment Services
Respondent Lawyers(s): Wm. Joseph Baker
Arbitrator(s): Thomas C. Wagner, Sanford Heiser, Robert P. Weisberger
Hearing Site: Cleveland, OH
| | |
| 08-00809 | 02/27/2009 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ed. Magarian
Respondent(s): Vladimer Victor
Respondent Lawyers(s): Vladimir Victor
Arbitrator(s): James A. Laurenson
Hearing Site: Cleveland, OH
| | |
| 08-03002 | 02/04/2009 | Claimant(s): Est. of Dorothy E. Mullen by Kelley B. S, Alfred Mullen, IRA by Kelley B. Standard, Dorothy E. Mullen IRA by Kelley B. Stand
Claimant Lawyers(s): Roger W. Van Deusen
Respondent(s): Jack Hicks, Sterne, Agee & Leach.
Respondent Lawyers(s): Ronald G. DeLuca, Ronald G. Deluca
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cleveland, OH
|  | $130 |
| 08-00805 | 12/19/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Robert Berry
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): David J. Capriotti
Hearing Site: Cleveland, OH
| | |
| 08-00718 | 12/04/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Diane Spencer
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): Gary R. Miles, Robert P. Weisberger, Michael Brian McCord
Hearing Site: Cleveland, OH
| | |
| 08-00951 | 11/20/2008 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Richard McCrea
Respondent Lawyers(s): Richard Porter McCrea
Arbitrator(s): Peter L. Pointer, Jay S. Ferrier, C. Robert Rittberger
Hearing Site: Cleveland, OH
| | |
| 07-02907 | 11/06/2008 | Claimant(s): Lorraine Moskal, Lorraine Moskal IRA, Lorraine Moskall 2002 Trust
Claimant Lawyers(s): Willliam H. Falin
Respondent(s): Ameriprise Advisor Services., Gregory Vanek
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): C. Robert Rittberger, Jason C. Blackford, Ralph A. Beard
Hearing Site: Cleveland, OH
| | $0 |
| 06-03279 | 09/15/2008 | Claimant(s): Robert W. Coles Rev.Tr
Claimant Lawyers(s): Anthony Hartman
Respondent(s): Joseph Hanna, A.G. Edwards & Sons., Robert Poling
Respondent Lawyers(s): William S. Port
Arbitrator(s): Edward F. Siegel, Benjamin B. Segel, Daniel L. Bonder
Hearing Site: Cleveland, OH
| | $0 |
