| 11-02646 | 08/16/2012 | Claimant(s): Virginia Bond Patchen
Claimant Lawyers(s): Scott M. Hare
Respondent(s): Pershing LLC, Kevin Miller, Thomas Virostek, Northwestern Mutual Investment Services,, Northwestern Mutual Wealth Management Co, The Northwestern Mutual Life Insurance C
Respondent Lawyers(s): James A. McGovern, Joseph S.D. Christof II
Arbitrator(s): Ellen Holland Keller, Thomas H. Barnard, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
|  | $0 |
| 11-01142 | 06/19/2012 | Claimant(s): Greg Skafec
Claimant Lawyers(s): Thomas L. Mason
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Carolyn Guy
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 11-03984 | 04/23/2012 | Claimant(s): Suzan S. Amara and Ayman S. Amara
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $5,576 |
| 11-01493 | 04/16/2012 | Claimant(s): David Swayze
Claimant Lawyers(s): Edward J. Duffy
Respondent(s): Catherine Hutton, Michael Young, The Huntington Investment Company
Respondent Lawyers(s): Catherine Marie Hutton, Douglas R. Jennings
Arbitrator(s): Louis V. Imundo, Karen Yvonne Preston, Kathleen P. Helbig-Hannan
Hearing Site: Columbus, OH
| | $2,262 |
| 08-01973 | 04/27/2010 | Claimant(s): The Minette B. Fisher Family Trust, The Nanette L. Fisher Family Trust, The Roe Green Foundation, The Roe Green Trust
Claimant Lawyers(s): James F. Koehler
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Robert Lewandowski, Roger Baranovic, Schwab Investments, The Charles Schwab Corporation
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ellen Holland Keller, Kathleen P. Helbig-Hannan, Harold Dean Tolbert
Hearing Site: Cleveland, OH
| | $310,074 |
| 09-03112 | 04/01/2010 | Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha F. McDugald
Respondent(s): John Defini
Respondent Lawyers(s): John Defini
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 07-01427 | 04/24/2008 | Claimant(s): Ellen Tedesco, Victor Tedesco
Claimant Lawyers(s): Arnold Y. Steinberg
Respondent(s): Christopher Murray, Michael Murphy, Olympia Asset Management Ltd.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Michael R. Stabile, Kathleen P. Helbig-Hannan
Hearing Site: Pittsburgh, PA
| | $0 |
