| 15-02017 | 01/20/2017 | Claimant(s): Abed Darwish
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Jeffrey M. Bain, Michael S. Jordan, Douglas Lucera Alder
Hearing Site: Cleveland, OH
| | |
| 14-00467 | 07/20/2016 | Claimant(s): Bruce Botts, Lynne Botts
Claimant Lawyers(s): Bruce Botts, Lynne Botts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Bill Swinford, Jeffrey M. Bain, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
|  | Expungement |
| 14-02953 | 07/18/2016 | Claimant(s): Ann Oldfather, F/B/O Ann B. Oldfather, Oldfather & Morris Profit Sharing Plan
Claimant Lawyers(s): Robert S. Deskins
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jill Bradley, Wachovia Securities, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Allan Weiss, Robert Laurence Astorino
Hearing Site: Louisville, KY
| | $181,757 |
| 14-02891 | 02/24/2016 | Claimant(s): Calvin Griffith, Helen Cherry
Claimant Lawyers(s): John S. Chapman
Respondent(s): Larry Werbel
Respondent Lawyers(s): Scott C. Matasar
Arbitrator(s): Jeffrey M. Bain, G. Daniel Carney, Nancy Fioritto
Hearing Site: Cleveland, OH
| | $100,375 |
| 13-03758 | 08/06/2015 | Claimant(s): Alexander Walbridge Rumpf, Nancy Cornell Rumpf, Samuel Thayer Rumpf
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Carter Smith, Jeffrey Catlin, Jeffrey Smith, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Robert H. Baker
Hearing Site: Cleveland, OH
| | Expungement |
| 14-02112 | 06/25/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol Li
Respondent(s): David Pennington
Respondent Lawyers(s): David Steele Pennington
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Louisville, KY
| | |
| 14-00415 | 06/09/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Willard Kelly
Respondent Lawyers(s): J Thomas Jones
Arbitrator(s): James P. McCrocklin, Jeffrey M. Bain, John Andrew Johnson
Hearing Site: Nashville, TN
| | |
| 12-01926 | 08/13/2014 | Claimant(s): Joshua S. and Ronald E. Greenberg
Claimant Lawyers(s): G. Clinton Kelley
Respondent(s): Scottrade Inc., Scottrade Financial Services
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Jeffrey M. Bain, Mary Kathleen Coleman, Peter Mark Elish
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-03083 | 08/01/2014 | Claimant(s): Angela Feagan, J. Thomas Feagan
Claimant Lawyers(s): Brian Herberth
Respondent(s): John Gould, PNC Investments
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain, Susan K. Hollenbach, Stephen P. Calardo
Hearing Site: Cincinnati, OH
| | Expungement |
| 13-00779 | 07/30/2014 | Claimant(s): Spencer Sheard
Claimant Lawyers(s): John F. Hill
Respondent(s): Wells Fargo Advisors, The Estate of Karl Baumholtz, Deceased
Respondent Lawyers(s): Deirdre C. Wolff, Karlene Clark
Arbitrator(s): Benjamin B. Segel, Jeffrey M. Bain, Cynthia Diane Rudick
Hearing Site: Cleveland, OH
| | $144,125 |
