| 22-02189 | 10/04/2024 | Claimant(s): Stephanie Bokor
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Jeffrey M. Bain, Kimberlee S. Ullner, Henry George Grendell
Hearing Site: Cleveland, OH
|  | $0 |
| 23-01432 | 05/03/2024 | Claimant(s): Gary Lydrickson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Franklin Distributors
Respondent Lawyers(s): Miles S. Winder
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cleveland, OH
| | |
| 23-01403 | 01/08/2024 | Claimant(s): Brian Griffin
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael Rowe
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Buffalo, NY
| | |
| 21-00487 | 03/31/2023 | Claimant(s): Christopher Watkins, Douglas Obradovich
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Barry Goldman, Jeffrey M. Bain, Joseph Patrick Cottingham
Hearing Site: Louisville, KY
| | |
| 20-01072 | 01/19/2023 | Claimant(s): David Smith, The Estate of Clara M. Bell
Claimant Lawyers(s): Scott A. Lane
Respondent(s): Donald Smith, Provident Private Capital Partners.
Respondent Lawyers(s): G. Clinton Kelley
Arbitrator(s): Jeffrey M. Bain, Gary Lee Ainley, Karl Strohbehn
Hearing Site: Cleveland, OH
| | $93,666 |
| 19-01276 | 08/11/2022 | Claimant(s): David Budzianowski, D Budzianowski H Daftarian JTWROS
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cincinnati, OH
| | $22,500 |
| 18-03388 | 05/12/2022 | Claimant(s): Todd Kalish
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Jeffrey M. Bain, Karl Strohbehn, Marshall Alton Bennett
Hearing Site: Cleveland, OH
| | |
| 20-00743 | 02/17/2022 | Claimant(s): Gary Kovach
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Kovack Securities Inc, Brian Kovack
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Jeffrey M. Bain, Peggy Foley Jones, Kevin Brodar
Hearing Site: Cleveland, OH
| | |
| 19-01541 | 12/17/2021 | Claimant(s): Michael Fetzner
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Rudiger, Kelli Mezzatesta, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): James S. Parker, Jeffrey M. Bain, Clifford C. Rohde
Hearing Site: Buffalo, NY
| | $131,855 |
| 18-03313 | 07/14/2021 | Claimant(s): Mary Krill-Eriksen
Claimant Lawyers(s): Dennis Murray
Respondent(s): Brian Lehner
Respondent Lawyers(s): Scott Matasar
Arbitrator(s): Jeffrey M. Bain, Eileen B. Vernon, William Joseph Baker
Hearing Site: Cleveland, OH
| | Expungement |
