| 17-01404 | 04/13/2018 | Claimant(s): Lauren Dalton
Claimant Lawyers(s): Michael Leigh
Respondent(s): Fidelity Brokerage Services LLC, Michael Galinger, Strategic Advisers Inc.
Respondent Lawyers(s): Lauren E. Ingoldsby
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
| | |
| 17-02346 | 03/01/2018 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill Clarke
Respondent(s): Curtis Pritchard
Respondent Lawyers(s): Curtis J. Pritchard
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | |
| 17-01602 | 09/19/2017 | Claimant(s): Leonard Kichler
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | |
| 15-03368 | 11/25/2016 | Claimant(s): Whitman Evans
Claimant Lawyers(s): Michael J. Betts
Respondent(s): Charles Correal, Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Susan M. Thevenet, Richard W. Dissen, Miles David Braverman
Hearing Site: Pittsburgh, PA
|  | $0 |
| 14-02746 | 04/29/2015 | Claimant(s): Jack Darby
Claimant Lawyers(s): T John Kirk
Respondent(s): Sanjay Bhargava
Respondent Lawyers(s): Neil D. Petkovic
Arbitrator(s): Richard W. Dissen
Hearing Site: Cleveland, OH
| | $32,907 |
| 14-00380 | 04/28/2015 | Claimant(s): A. Paul, Geneva BCCX XIV, Lionsgate TIC 29, SHS Houston 28
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Richard W. Dissen, Timothy Shay Davis, Rosemary Christina Crawford
Hearing Site: Pittsburgh, PA
| | Expungement |
| 13-03674 | 04/02/2015 | Claimant(s): Consuela Campana, Michael Donovan, Estate of Virginia Campana
Claimant Lawyers(s): Michael J Betts
Respondent(s): Edward Brown, UBS Financial Services Inc., Louis Sforza
Respondent Lawyers(s): Nicholas P. Vari
Arbitrator(s): Richard W. Dissen, Paul Harry Hill, Mark Alexander Sipper
Hearing Site: Pittsburgh, PA
| | $0 |
| 13-02062 | 03/10/2015 | Claimant(s): Brian Lehner
Claimant Lawyers(s): Brian J Laliberte
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Richard W. Dissen, Mary K. Flask, Dieter Domanovic
Hearing Site: Cleveland, OH
| | |
| 13-02646 | 11/11/2014 | Claimant(s): Jonathan Brofford
Claimant Lawyers(s): Jonathan D. Brofford
Respondent(s): Colin Lewis, Jeffrey Suhanic, Kenneth Duncan, PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Jay S. Ferrier, Richard W. Dissen, Gary Lee Ainley
Hearing Site: Cleveland, OH
| | |
| 12-02953 | 06/04/2013 | Claimant(s): Harley Collins
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Richard W. Dissen
Hearing Site: Cleveland, OH
| | Dismissed by Rule 12206 |
