| 16-02884 | 08/10/2017 | Claimant(s): Peter Klein
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Rothschild Investment Corporation
Respondent Lawyers(s): James B. Koch
Arbitrator(s): Joseph V. Simeri
Hearing Site: Chicago, IL
| | |
| 15-03071 | 04/05/2017 | Claimant(s): Alice Appel
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Indianapolis, IN
|  | Expungement |
| 13-03673 | 11/25/2015 | Claimant(s): Theresa Devereux
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradely B. Rounsaville
Arbitrator(s): Robert J. Kheel
Hearing Site: Syracuse, NY
| | Expungement |
| 13-03482 | 09/18/2014 | Claimant(s): Gerald Kreimeyer, Gerald K. Kreimeyer, IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Mark R. Topper, Thomas Joseph Atkinson, Anthony Richard Sanchez
Hearing Site: Orlando, FL
| | Expungement |
| 13-02680 | 04/29/2014 | Claimant(s): Robert Burns, Robert E. Burns IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): K. Clark Phipps
Arbitrator(s): Maxel (Bud) B. Silverberg
Hearing Site: Oklahoma City, OK
| | $300 |
| 13-00169 | 01/06/2014 | Claimant(s): Julia Pordon, Leo Pordon, Julia M. Pordon on Behalf of Her IRA, Leo Pordon on Behalf of His IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): John M. Eadie, Joseph L. Bernstein, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02944 | 07/31/2013 | Claimant(s): Mary Power
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Thomas L. Dueber
Hearing Site: Denver, CO
| | Expungement |
| 12-02626 | 07/24/2013 | Claimant(s): David Broadwell, David W. Broadwell Revocable Trust
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Gerald Silverman
Hearing Site: Ft. Lauderdale, FL
| | $56,625 |
| 12-03492 | 07/17/2013 | Claimant(s): Jay Heller
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 11-01815 | 09/12/2012 | Claimant(s): Doug Siegel, Teri Siegel, Terri Siegel IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Joseph V. Simeri, Robert David Epstein, William Gibson Heller
Hearing Site: Indianapolis, IN
| | $8,500 |
