| 11-04498 | 11/29/2012 | Claimant(s): Joseph Lacare
Claimant Lawyers(s): Paul J. Mooney
Respondent(s): David Lemond, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Robert Rapp, Jeffrey M. Bain, Thomas R. Skulina
Hearing Site: Cleveland, OH
|  | Expungement |
| 11-03756 | 09/10/2012 | Claimant(s): Forrest Sutherland
Claimant Lawyers(s): Cassaundra L. Edwards
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Scott H Litwin, Jeffrey M. Bain, Barbara Black
Hearing Site: Cincinnati, OH
| | $0 |
| 11-03768 | 07/31/2012 | Claimant(s): Jeffrey Jennings
Claimant Lawyers(s): Jeff Jennings
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Marcie Mintz
Arbitrator(s): Bill Swinford, James Clifton Stone, Jeffrey M. Bain
Hearing Site: Louisville, KY
| | |
| 11-00915 | 06/22/2012 | Claimant(s): Grace Seitz, Harry Seitz
Claimant Lawyers(s): Nicholas A. Miller
Respondent(s): Kimberly Fleming, Maryann Siebert, Hefren & Tillotson., Hefren-Tillotson.
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Jeffrey M. Bain, Michael S. Berman, George H. Perich
Hearing Site: Pittsburgh, PA
| | Expungement |
| 11-01039 | 04/20/2012 | Claimant(s): Florence Pesce
Claimant Lawyers(s): Florence Pesce
Respondent(s): J.P. Morgan Securities, Banc One Securities Corporation
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Jeffrey M. Bain, Gregory P. Szuter, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
| | $0 |
| 08-04833 | 04/10/2012 | Claimant(s): Jeffrey Concepcion
Claimant Lawyers(s): Daniel M. Connell
Respondent(s): Lincoln Financial Advisors
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
| | |
| 10-02943 | 12/05/2011 | Claimant(s): Grayce Stewart
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Morgan Keegan & Company., William Shamburger
Respondent Lawyers(s): Christie A. Moore
Arbitrator(s): Jeffrey M. Bain, Cheryl Renee Cravens, Michael E. Martin
Hearing Site: Louisville, KY
| | $98,000 |
| 10-04207 | 09/16/2011 | Claimant(s): Harry Canavesi
Claimant Lawyers(s): Foster S. Goldman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Jeffrey M. Bain, Douglas M. Branson, Wrally John Dutkiewicz
Hearing Site: Pittsburgh, PA
| | |
| 10-00254 | 09/16/2011 | Claimant(s): Thomas Gannon, IRA
Claimant Lawyers(s): Scott D. Livingston
Respondent(s): Joseph Molinero, Morgan Stanley & Co.
Respondent Lawyers(s): Douglas W. Hyman
Arbitrator(s): Jeffrey M. Bain, Steven P. Franckhauser, Max D. Halpern
Hearing Site: Pittsburgh, PA
| | $0 |
| 10-02870 | 08/12/2011 | Claimant(s): Barbara Lynn, Barbara A. Lynn Trust
Claimant Lawyers(s): Roland M. Cavalier
Respondent(s): Brian Robb, Stifel, Nicolaus & Co.., John Peters
Respondent Lawyers(s): James C. Browning, Jr.
Arbitrator(s): Bert S Cliff, Jeffrey M. Bain, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | Stipulated Award and Expungement |
