| 20-02133 | 02/16/2021 | Claimant(s): Richard Pierce
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Mark A. Sipper
Hearing Site: Columbus, OH
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| 20-02422 | 12/31/2020 | Claimant(s): William Borders
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Mark A. Sipper
Hearing Site: Louisville, KY
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| 20-00976 | 11/17/2020 | Claimant(s): Matthew Orman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Mark A. Sipper
Hearing Site: Pittsburgh, PA
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| 20-00497 | 08/28/2020 | Claimant(s): Shaun Nicholson
Claimant Lawyers(s): Michael Bessette
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Mark A. Sipper
Hearing Site: Cincinnati, OH
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| 19-02086 | 01/17/2020 | Claimant(s): Charles Mercer
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Mark A. Sipper
Hearing Site: Louisville, KY
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| 18-02518 | 08/29/2019 | Claimant(s): John Bach
Claimant Lawyers(s): John William Bach
Respondent(s): Harbor Financial Services
Respondent Lawyers(s): Mickey Wright
Arbitrator(s): Nelson E. Genshaft, Mark A. Sipper, Lonny Scott Elfenbein
Hearing Site: Birmingham, AL
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| 18-02715 | 08/07/2019 | Claimant(s): Scott Brooks
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Mark A. Sipper
Hearing Site: Louisville, KY
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| 17-01029 | 05/31/2018 | Claimant(s): Martha Jones, William Jones, Martha M. Jones Trust, Neal M. Jones Trust, William H. Jones, III Trust
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Fred Overbeck, Larry Taul, Murray Sinclaire
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Donna L. Pavlick, Janet M. Thompson, Mark A. Sipper
Hearing Site: Cincinnati, OH
|  | Expungement |
| 17-02649 | 02/13/2018 | Claimant(s): Eric Seyboldt
Claimant Lawyers(s): Eric Seyboldt
Respondent(s): Nationwide Securities
Respondent Lawyers(s): Ali I. Haque
Arbitrator(s): Mark A. Sipper
Hearing Site: Columbus, OH
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| 15-02938 | 09/21/2017 | Claimant(s): Charles Kibler
Claimant Lawyers(s): Adam G. Anderson
Respondent(s): Donald Smith, Provident Private Capital Partners., Provident Wealth Management.
Respondent Lawyers(s): Ryan O. Hemminger
Arbitrator(s): David M. Panko, Mary Kathleen Coleman, Mark A. Sipper
Hearing Site: Pittsburgh, PA
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