| 19-03604 | 10/26/2022 | Claimant(s): Daniel Parker, Edison Parker, Michael Brinton
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Cary Street Partners
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): George Michael Cross, John G. Manley, Karl A. Vogeler
Hearing Site: Nashville, TN
| | |
| 18-00329 | 08/06/2019 | Claimant(s): Branda Allen, David Meske, John Riley, Joshua Allen, Philip Susi, Robert Mitchell
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Securities America.
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Gregory Hunter Mathews, Sarah R. Cole, Randolph Carson Wiseman
Hearing Site: Columbus, OH
| | |
| 18-01877 | 05/15/2019 | Claimant(s): David Hartl
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): J.P. Morgan Securities, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Thomas J. Cahill, W. Preston Martin
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | |
| 18-01830 | 12/19/2018 | Claimant(s): Alan Fadel, Scott Brown
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Preston Martin
Arbitrator(s): Michael L. Fortney
Hearing Site: Cleveland, OH
| | |
| 17-03143 | 05/21/2018 | Claimant(s): Thomas Lieser
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Stephen P. Calardo
Hearing Site: Cincinnati, OH
| | |
| 16-03692 | 04/10/2018 | Claimant(s): Robert Hill
Claimant Lawyers(s): Adam Weinstein
Respondent(s): Todd Crawford, Capital City Securities
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Edward Blumstein, John James McGovern, James T. Carney
Hearing Site: Pittsburgh, PA
|  | Expungement |
| 16-02511 | 03/27/2018 | Claimant(s): William Alford
Claimant Lawyers(s): Carl E. Patrick
Respondent(s): G. Parry, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Ellen Holland Keller, Gregory G. Gocek, Richard S. Hines
Hearing Site: Cleveland, OH
| | $0 |
| 16-03662 | 07/31/2017 | Claimant(s): Traci Born
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Erick R. Zanner, Lynn Hirschfeld Brahin, Nelson E. Genshaft
Hearing Site: Columbus, OH
| | |
| 16-02728 | 04/20/2017 | Claimant(s): Matthew Jehn
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): WRP Investments., Wellstone Securities
Respondent Lawyers(s): Raymond Noragon, CCO, William R. Pintaric, Jr., VP
Arbitrator(s): Julius Z. Frager, Christy K. Radigan, W Charles Curley
Hearing Site: Columbus, OH
| | |
| 15-03138 | 02/16/2017 | Claimant(s): James F. Kerg Revocable Living Trust
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Wells Fargo Advisors Financial Network, Eric Haubert
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Emily J. Lewis, Stephen D Kursman, W Charles Curley
Hearing Site: Columbus, OH
| | Expungement |
