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 |
20-03165 | 09/23/2021 | Claimant(s): Vincent Panizzi Claimant Lawyers(s): Harry Meyer Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Kathleen P. Helbig-Hannan Hearing Site: Detroit, MI
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19-02827 | 04/28/2021 | Claimant(s): Mark Elko Claimant Lawyers(s): John Stewart Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Allan S. Bloom Arbitrator(s): Kathleen P. Helbig-Hannan Hearing Site: New York, NY
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20-04046 | 04/19/2021 | Claimant(s): Adam Lohrey Claimant Lawyers(s): Adam Lohrey Respondent(s): Robinhood Financial. Respondent Lawyers(s): Richard J. Davis Arbitrator(s): Kathleen P. Helbig-Hannan Hearing Site: Cincinnati, OH
| | $300 |
19-03321 | 01/25/2021 | Claimant(s): John Holborn Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co.. Respondent Lawyers(s): David G. Buffa, Jonathan E. Green Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace Hearing Site: Buffalo, NY
| | Dismissed by Rule 12206 |
19-01304 | 11/18/2019 | Claimant(s): Elizabeth Katen, Philip Katen, Ryan Katen, Timothy Katen Claimant Lawyers(s): Robert H. Rex Respondent(s): The Tidal Group. Respondent Lawyers(s): Greg Weselka Arbitrator(s): Gregory P. Szuter, Daniel G. Zeiser, Kathleen P. Helbig-Hannan Hearing Site: Cleveland, OH
| | Dismissed by Rule 12206/12504 |
16-03079 | 03/05/2018 | Claimant(s): The Robert A. Weitzel Trust Claimant Lawyers(s): Hugh D. Berkson Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David Buffa Arbitrator(s): Kathleen P. Helbig-Hannan, Eileen B. Vernon, Ronald Edward Alexander Hearing Site: Cleveland, OH
| | Expungement |
17-00069 | 02/07/2018 | Claimant(s): Estate of Louis P. Castellarin Claimant Lawyers(s): John S. Chapman Respondent(s): Doreen Weber, Jeffrey Schuh, Kevin Larson Respondent Lawyers(s): F. Chet Taylor Arbitrator(s): Kathleen P. Helbig-Hannan Hearing Site: Cleveland, OH
| | $20,000 |
16-02216 | 01/24/2018 | Claimant(s): Inez Corrado, Mark Corrado Claimant Lawyers(s): David Justin Gingerich Respondent(s): Christopher Barone, Dominic Tropiano, Richard Barone, America Northcoast Securities. Respondent Lawyers(s): Dominic Anthony Tropiano, Michael D. Hoenig Arbitrator(s): Jeffrey M. Bain, Gregory P. Szuter, Kathleen P. Helbig-Hannan Hearing Site: Cleveland, OH
| | Expungement |
16-02379 | 02/03/2017 | Claimant(s): David Aaron Claimant Lawyers(s): David J. Aaron Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David J. Libowsky Arbitrator(s): Kathleen P. Helbig-Hannan, John Nicholas Posch, Michael J Borden Hearing Site: Cleveland, OH
| | $0 |