| 19-03164 | 08/06/2021 | Claimant(s): Timothy Jackson
Claimant Lawyers(s): Timothy Wayne Jackson
Respondent(s): Prudential Annuities Distributors
Respondent Lawyers(s): Sarah M. Mancuso
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cleveland, OH
|  | $225 |
| 20-03000 | 06/11/2021 | Claimant(s): Michael Maroni
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | |
| 20-02295 | 12/22/2020 | Claimant(s): Jeffrey McCabe
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W, Brooks
Arbitrator(s): Gregory P. Szuter
Hearing Site: Buffalo, NY
| | |
| 20-00250 | 08/24/2020 | Claimant(s): William Neat
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | |
| 19-03219 | 03/27/2020 | Claimant(s): Daniel T. Kuhl, IRA
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Gregory P. Szuter
Hearing Site: Columbus, OH
| | $300 |
| 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 |
| 18-01144 | 09/04/2018 | Claimant(s): Edmund F. Turek IMA
Claimant Lawyers(s): Brian T. Giles
Respondent(s): PNC Investments
Respondent Lawyers(s): Jason E. Hazlewood
Arbitrator(s): Stuart D. Summers, Michael J. Meeusen, Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | $0 |
| 17-01943 | 04/25/2018 | Claimant(s): Stephen Fish
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments LLC
Respondent Lawyers(s): Raymond M. Ripple
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | |
| 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 |
| 15-00958 | 02/02/2016 | Claimant(s): Richard Desman
Claimant Lawyers(s): Carolyn L. Dorazio
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Ronald W. Sannicandro
Arbitrator(s): Gregory P. Szuter
Hearing Site: Pittsburgh, PA
| | |
