| 18-02993 | 01/31/2020 | Claimant(s): Flonnoya Franklin
Claimant Lawyers(s): Fred M. Bean
Respondent(s): Blaine Miller, Samuel Capasso, Proequities.
Respondent Lawyers(s): Warren B. Lightfoot
Arbitrator(s): Ellen Holland Keller, Michael L. Fortney, Barbara E. Machin
Hearing Site: Cleveland, OH
| | |
| 16-02511 | 03/27/2018 | Claimant(s): William Alford
Claimant Lawyers(s): Carl E. Patrick
Respondent(s): G. Parry, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Ellen Holland Keller, Gregory G. Gocek, Richard S. Hines
Hearing Site: Cleveland, OH
|  | $0 |
| 16-00181 | 01/24/2017 | Claimant(s): Steven Marcelli
Claimant Lawyers(s): Brandon O. Trent
Respondent(s): LPL Financial LLC, Robert Rownd
Respondent Lawyers(s): Scott Matasar
Arbitrator(s): Jeffrey M. Bain, Ellen Holland Keller, William Joseph Baker
Hearing Site: Cleveland, OH
| | $0 |
| 14-01306 | 09/11/2015 | Claimant(s): Jeremiah Lang, Lisa Lang
Claimant Lawyers(s): Chad M. Kohler
Respondent(s): Victor Bull, Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Frank C. Fogl, Ellen Holland Keller, Eileen B. Vernon
Hearing Site: Cleveland, OH
| | $94,741 |
| 13-01926 | 12/27/2013 | Claimant(s): Eniko Shaw, Joseph Shaw
Claimant Lawyers(s): Joseph Shaw
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
| | $0 |
| 12-01717 | 11/19/2012 | Claimant(s): Karen L. Milia, IRA, Mark S. Milia
Claimant Lawyers(s): Mark S. Milia
Respondent(s): Christian Hammer-Huber, Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
| | $0 |
| 11-02646 | 08/16/2012 | Claimant(s): Virginia Bond Patchen
Claimant Lawyers(s): Scott M. Hare
Respondent(s): Pershing LLC, Kevin Miller, Thomas Virostek, Northwestern Mutual Investment Services,, Northwestern Mutual Wealth Management Co, The Northwestern Mutual Life Insurance C
Respondent Lawyers(s): James A. McGovern, Joseph S.D. Christof II
Arbitrator(s): Ellen Holland Keller, Thomas H. Barnard, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 10-05299 | 11/04/2011 | Claimant(s): Daniel Strebler
Claimant Lawyers(s): Bruce H. Wilson
Respondent(s): Morgan Stanley & Co., Morgan Stanley Financial Advisor
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
| | |
| 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
| | |
| 07-02883 | 07/12/2010 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Keybanc Capital Markets Inc., John Hartman
Respondent Lawyers(s): John Hartman, Wm. Joseph Baker
Arbitrator(s): Ellen Holland Keller, I. Bernard Trombetta, Marianne L. Simpson
Hearing Site: Cleveland, OH
| | Settlement |
