| 10-04362 | 11/04/2011 | Claimant(s): Emil Royers, Mary Royers
Claimant Lawyers(s): Rick Royers
Respondent(s): Anthony Pitstick, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Bert S Cliff, Harlita R. Tomlinson, Stephen John Schaller
Hearing Site: Cincinnati, OH
|  | Expungement |
| 10-02870 | 08/12/2011 | Claimant(s): Barbara Lynn, Barbara A. Lynn Trust
Claimant Lawyers(s): Roland M. Cavalier
Respondent(s): Brian Robb, Stifel, Nicolaus & Co.., John Peters
Respondent Lawyers(s): James C. Browning, Jr.
Arbitrator(s): Bert S Cliff, Jeffrey M. Bain, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | Stipulated Award and Expungement |
| 09-06154 | 03/24/2011 | Claimant(s): Kevin Afnan
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bert S Cliff, Ellen Holland Keller, Robert M Lustig
Hearing Site: Cleveland, OH
| | |
| 04-04184 | 01/06/2011 | Claimant(s): Cheryl Schwarzwaelder
Claimant Lawyers(s): Joseph H. Chivers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Bert S Cliff, James J. Puhala, Rebecca A. Bowman
Hearing Site: Pittsburgh, PA
| | |
| 09-00200 | 11/22/2010 | Claimant(s): John Grimes
Claimant Lawyers(s): John W. Grimes
Respondent(s): Roy Neal, 1717 Capital Management Company
Respondent Lawyers(s): Joseph J. Dehner, Natalie T. Furniss
Arbitrator(s): Bert S Cliff, Bill Swinford, Robert Economou
Hearing Site: Cincinnati, OH
| | $0 |
| 09-02210 | 08/13/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Douglas Ross
Respondent Lawyers(s): David L. Dingwell
Arbitrator(s): Bert S Cliff, Edward L. Roth, Robert P. Weisberger
Hearing Site: Cleveland, OH
| | |
| 09-00064 | 03/16/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Widener
Respondent Lawyers(s): Thomas S. Widener
Arbitrator(s): Bert S Cliff, Scott H Litwin, John R. Michael
Hearing Site: Cincinnati, OH
| | |
| 09-02837 | 02/19/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): L. Boyce
Respondent Lawyers(s): L. Marvin Boyce
Arbitrator(s): Bert S Cliff, John B. Glueckert, Gary R. Miles
Hearing Site: Charleston, WV
| | |
| 08-02090 | 11/25/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): John Lagattuta
Respondent Lawyers(s): Charles K. Webster
Arbitrator(s): Bert S Cliff, N. John Marinack, David Darrah
Hearing Site: Cleveland, OH
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