| 21-00711 | 01/14/2022 | Claimant(s): Adam Hill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Columbus, OH
| | |
| 20-03309 | 12/09/2021 | Claimant(s): Kevin Sprouse
Claimant Lawyers(s): Kevin E. Sprouse
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Jeffry M. Bauer
Hearing Site: St. Louis, MO
|  | $0 |
| 20-00677 | 08/02/2021 | Claimant(s): Remo Benvenuti, Remo Benvenuti Irrev Trust UAD 6/29/2007
Claimant Lawyers(s): Joseph P. Ciaramitaro
Respondent(s): Jason Murphy, CCO Investment Services Corp., Charter One Investment Services, Citizens Securities.
Respondent Lawyers(s): Eric A. Michaels, Krista L. Elsasser
Arbitrator(s): Jeffry M. Bauer, Raymond Wade Henney, Barbara A. Johannessen
Hearing Site: Detroit, MI
| | Expungement |
| 20-01477 | 08/02/2021 | Claimant(s): JDSF Investments
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Kevin Perlberg, United Planners' Financial Services of A
Respondent Lawyers(s): David A. Baugh, Jonathan M. Sterling
Arbitrator(s): Jeffry M. Bauer, Gregory G. Wille, David E. Jarvis
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 19-03153 | 06/08/2021 | Claimant(s): Purshe Kaplan Sterling Investments
Claimant Lawyers(s): Lewis S. Fischbein
Respondent(s): Gopi Vungarala
Respondent Lawyers(s): Gopi Krishna Vungarala
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 20-03163 | 05/26/2021 | Claimant(s): Bruce Slater
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Tampa, FL
| | |
| 20-03743 | 04/05/2021 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): H. Beck.
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Jeffry M. Bauer, Mark L Miller, Jonathan B. Gilbert
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206 |
| 20-01911 | 03/10/2021 | Claimant(s): Lucas Tiettmeyer
Claimant Lawyers(s): Lucas Tiettmeyer
Respondent(s): Ally Invest Securities.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Cincinnati, OH
| | $0 |
| 20-01406 | 12/10/2020 | Claimant(s): Michael Lomas
Claimant Lawyers(s): Harry Meyer
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Buffalo, NY
| | |
| 20-02659 | 11/06/2020 | Claimant(s): Matthew Powell
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Louisville, KY
| | |
