21-01288 | 03/13/2023 | Claimant(s): Robert Thompson Claimant Lawyers(s): Robert Brendan Thompson Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Gary B. Deutsch, Michael Alan Ellis, Laurie Ann Malone Hearing Site: Cleveland, OH
| | $37,000 |
22-01650 | 02/09/2023 | Claimant(s): Russell Mcalonie Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC, MML Investors Services Respondent Lawyers(s): Julie E. Ravis, Sara B. Davis Arbitrator(s): Gregory G. Gocek Hearing Site: Cleveland, OH
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20-01072 | 01/19/2023 | Claimant(s): David Smith, The Estate of Clara M. Bell Claimant Lawyers(s): Scott A. Lane Respondent(s): Donald Smith, Provident Private Capital Partners. Respondent Lawyers(s): G. Clinton Kelley Arbitrator(s): Jeffrey M. Bain, Gary Lee Ainley, Karl Strohbehn Hearing Site: Cleveland, OH
| | $93,666 |
22-01609 | 12/06/2022 | Claimant(s): The Hermes Family Trust Claimant Lawyers(s): Courtney Werning Respondent(s): Gregory Fockler, Royal Alliance Associates. Respondent Lawyers(s): Gregory Curley Arbitrator(s): Robert J. Scafuri Hearing Site: Cleveland, OH
| | $10,600 |
19-02328 | 11/07/2022 | Claimant(s): Carl Abdalian Claimant Lawyers(s): Robert Souren Abdalian Respondent(s): Douglas Vollette, Fidelity Brokerage Services LLC, Todd Williams Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): John C. Aten Hearing Site: Cleveland, OH
| | $0 |
21-01972 | 10/25/2022 | Claimant(s): Jess Hurst Claimant Lawyers(s): Brian P. Nally Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Feldstein Arbitrator(s): Lynn Hirschfeld Brahin, Scott C. Matasar, David Arnold Hearing Site: Cleveland, OH
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21-01697 | 10/11/2022 | Claimant(s): O'Toole, McLaughlin, Dooley & Pecora, OMDP, Co. LPA Cash Balance Plan Claimant Lawyers(s): Jeffrey D. Zimon Respondent(s): Brian Kahl, Mid Atlantic Financial Management., The Kahl Group Respondent Lawyers(s): Brian P. Nally Arbitrator(s): Gregory P. Szuter, Marques P.D. Richeson, Aleksandar Sava Rakic Hearing Site: Cleveland, OH
| | Expungement |
22-01323 | 09/26/2022 | Claimant(s): Lincoln Financial Advisors Corporation Claimant Lawyers(s): Samuel P. Mauch Respondent(s): John Nelson Respondent Lawyers(s): John W. Nelson Arbitrator(s): Jeffry M. Bauer Hearing Site: Cleveland, OH
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22-00835 | 09/07/2022 | Claimant(s): Aspiration Financial LLC Claimant Lawyers(s): Andrew J. Melnick Respondent(s): Becky Keith Respondent Lawyers(s): Becky Keith Arbitrator(s): Kathleen P. Helbig-Hannan Hearing Site: Cleveland, OH
| | $0 |
20-04171 | 08/08/2022 | Claimant(s): Craig Findley Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): James L. Komie Arbitrator(s): Robert J. Scafuri Hearing Site: Cleveland, OH
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