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 |
10-05361 | 03/21/2014 | Claimant(s): Barry Goodman, Dana Goodman Claimant Lawyers(s): Richard B. Fosher Respondent(s): Meyers Associates, L.P. Respondent Lawyers(s): David A. Schrader Arbitrator(s): R. Thomas Barksdale, Jeffrey M. Bain, Donna L. Pavlick Hearing Site: Nashville, TN
| | $447,580 |
12-04128 | 03/21/2014 | Claimant(s): John Caudill, Molly Caudill Claimant Lawyers(s): Steven M. McCauley Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David J. Butler Arbitrator(s): Amelia F. Adams, Jeffrey M. Bain, Harold G. Wren Hearing Site: Louisville, KY
| | $202,375 |
12-02163 | 11/22/2013 | Claimant(s): Mary Kunar Claimant Lawyers(s): Douglas A. Kutsko Respondent(s): Wells Fargo Advisors, Philip Kousaie, Thomas Hall Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Jeffrey M. Bain Hearing Site: Cleveland, OH
| | Expungement |
12-03726 | 10/10/2013 | Claimant(s): Jon Arnold Claimant Lawyers(s): Dennis J. Concilla Respondent(s): LPL Financial LLC Respondent Lawyers(s): Amanda C. Hawley Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, John B. Glueckert Hearing Site: Columbus, OH
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11-01014 | 06/14/2013 | Claimant(s): Albert Haynesworth Claimant Lawyers(s): Philip N. Elbert Respondent(s): Citigroup Global Markets., John Verble Respondent Lawyers(s): David G. Russell Arbitrator(s): Jeffrey M. Bain, Darrell A. Hillis, D. Bruce Shine Hearing Site: Nashville, TN
| | $390,000 |
08-02072 | 04/25/2013 | Claimant(s): Warner Group. Claimant Lawyers(s): Barry K. Lake Respondent(s): Citigroup Global Markets., John Spies Respondent Lawyers(s): Brody W. Weichbrodt Arbitrator(s): Jeffrey M. Bain, Donald F. Shiffermiller, Albert Bernard Kerkhove Hearing Site: Omaha, NE
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12-01901 | 04/24/2013 | Claimant(s): Norbert Carey Claimant Lawyers(s): Norbert C. Carey Respondent(s): Douglas Justice, PNC Investments Respondent Lawyers(s): Joseph S. Simms Arbitrator(s): Jeffrey M. Bain Hearing Site: Louisville, KY
| | $4,395 |
12-02735 | 04/19/2013 | Claimant(s): Meltport Pension Trust Claimant Lawyers(s): James N. Perich Respondent(s): Kimberly Krapp, Richard Crist, Janney Montgomery Scott LLC Respondent Lawyers(s): Carrie L. Chelko Arbitrator(s): Jeffrey M. Bain Hearing Site: Pittsburgh, PA
| | Expungement |
09-04968 | 01/08/2013 | Claimant(s): Jaclyn Cedeno Claimant Lawyers(s): Peter R. Silverman Respondent(s): Michael Anello, EKN Financial Services Inc., Obsidian Financial Group Respondent Lawyers(s): Martin P. Unger, Michael A. Anello, Thomas Giugliano Arbitrator(s): Jeffrey M. Bain, Karen Yvonne Preston, Stanley Kenneth Evans Hearing Site: Columbus, OH
| | $469,420 |