| 10-05119 | 09/11/2012 | Claimant(s): Estate of Richard Greenfield, Anna Greenfield Trust
Claimant Lawyers(s): Anthony J. Hartman
Respondent(s): Bradley Schlang, David Spinar, Debra Hansen, Dennis King, Douglas Fehr, James Heeney, James Nagengast, Jay Idt, Securities America., Kevin Miller, Lamar Jones, Michael Perlmuter, Pamela Wertheim, Randy Schneider, Scott Cross, Scott Hoyt, Steven Mcwhorter, W. Cross, Securities America Advisors.
Respondent Lawyers(s): Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Robert G. Conway, Gregory P. Szuter, Leroy Burton Parks
Hearing Site: Cleveland, OH
|  | Expungement |
| 10-02153 | 05/25/2012 | Claimant(s): P&M Corporate Finance
Claimant Lawyers(s): Raymond W. Henney
Respondent(s): Michael Paparella, Philip Gilbert, Plante & Moran, PLLC
Respondent Lawyers(s): Joseph N. Gross, Raymond W. Henney
Arbitrator(s): Gregory P. Szuter, Thomas H. Barnard, Jeffrey V. Gery
Hearing Site: Cleveland, OH
| | |
| 11-03941 | 05/02/2012 | Claimant(s): Neema Nourian
Claimant Lawyers(s): Neema Nourian
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | $163 |
| 11-01039 | 04/20/2012 | Claimant(s): Florence Pesce
Claimant Lawyers(s): Florence Pesce
Respondent(s): J.P. Morgan Securities, Banc One Securities Corporation
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Jeffrey M. Bain, Gregory P. Szuter, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
| | $0 |
| 10-04961 | 11/18/2011 | Claimant(s): Dianne W. Mack IRA, Douglas R. Mack IRA, Douglas R. Mack & Dianne W. Mack, JT TEN
Claimant Lawyers(s): Kendra L. Carpenter
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Robert N. Rapp
Arbitrator(s): Robert P. Fogarty, W. Sean Kelleher, Gregory P. Szuter
Hearing Site: Columbus, OH
| | $0 |
| 10-03674 | 09/16/2011 | Claimant(s): Adolph Hozempa, Mary Hozempa
Claimant Lawyers(s): Robert M. Kramer
Respondent(s): Wachovia Securities, Kevin Coyne
Respondent Lawyers(s): James W. Kraus
Arbitrator(s): William R. Gruver, Gregory P. Szuter, James J. Puhala
Hearing Site: Pittsburgh, PA
| | $0 |
| 10-00806 | 07/19/2011 | Claimant(s): Steven Auxter
Claimant Lawyers(s): Jon J. Pinney
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): James A. Laurenson, Gregory P. Szuter, Mary K. Flask
Hearing Site: Cleveland, OH
| | |
| 08-03002 | 02/04/2009 | Claimant(s): Est. of Dorothy E. Mullen by Kelley B. S, Alfred Mullen, IRA by Kelley B. Standard, Dorothy E. Mullen IRA by Kelley B. Stand
Claimant Lawyers(s): Roger W. Van Deusen
Respondent(s): Jack Hicks, Sterne, Agee & Leach.
Respondent Lawyers(s): Ronald G. DeLuca, Ronald G. Deluca
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cleveland, OH
| | $130 |
