| 14-02114 | 05/05/2015 | Claimant(s): Ethel M. Cusic Trust
Claimant Lawyers(s): John D. McClure
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Christen M. Steimle
Arbitrator(s): Thomas C. Wagner
Hearing Site: Cincinnati, OH
|  | Dismissed by Rule 12206 |
| 13-03660 | 05/15/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): Patrick Sullivan
Respondent Lawyers(s): Patrick Joseph Sullivan
Arbitrator(s): Thomas C. Wagner
Hearing Site: Cincinnati, OH
| | |
| 12-00130 | 08/14/2013 | Claimant(s): Angela Pollice, Philip Pollice
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): David Root, Commonwealth Financial Network, D.B. Root & Company
Respondent Lawyers(s): Jay E. Kagan
Arbitrator(s): Thomas C. Wagner, Christopher Lepore, G. Daniel Carney
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-00944 | 01/02/2013 | Claimant(s): George Katsikas, Scott Katsikas
Claimant Lawyers(s): Eric S. Zell
Respondent(s): Peter Peterson, Aspen Capital Partners, Pointe Atlantic.
Respondent Lawyers(s): Company President, Peter M. Peterson, Sandra Ann Sutter
Arbitrator(s): Thomas C. Wagner, I. Bernard Trombetta, Shelly A. Goering
Hearing Site: Cleveland, OH
| | $433,450 |
| 11-01879 | 02/28/2012 | Claimant(s): David Miller
Claimant Lawyers(s): David G. Miller
Respondent(s): Matthew Dailey, Genworth Financial Securities Corp
Respondent Lawyers(s): James W. Shay
Arbitrator(s): Thomas C. Wagner
Hearing Site: Pittsburgh, PA
| | $163 |
| 11-01899 | 02/09/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): John Newkirk
Respondent Lawyers(s): John Marcus Newkirk
Arbitrator(s): Thomas C. Wagner
Hearing Site: Cincinnati, OH
| | |
| 10-01781 | 07/01/2010 | Claimant(s): Fidelity Brokerage Services LLC, FMR LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Andrew Hermes, Steven O'connor, William Doepker
Respondent Lawyers(s): Grant S. Cowan
Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Miles D. Hart
Hearing Site: Cincinnati, OH
| | |
| 09-00560 | 06/18/2010 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Brad Sweatland, UBS Financial Services Inc.
Respondent Lawyers(s): Brad Sweatland, Wm. Joseph Baker
Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Wiley H. Clodfelder
Hearing Site: Columbus, OH
| | Settlement |
| 07-02012 | 02/27/2009 | Claimant(s): AmTrust Investment Services.
Claimant Lawyers(s): Max E. Dehn
Respondent(s): David Kopsak, Jonathan Mesok, Robbin Guy, Charter One Financial., Charter One Investment Services
Respondent Lawyers(s): Wm. Joseph Baker
Arbitrator(s): Thomas C. Wagner, Sanford Heiser, Robert P. Weisberger
Hearing Site: Cleveland, OH
| | |
