| 12-03995 | 07/26/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): Danny Yarnell
Respondent Lawyers(s): Danny Leroy Yarnell
Arbitrator(s): W. Sean Kelleher
Hearing Site: Columbus, OH
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| 12-01242 | 06/05/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Walter Russell
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Alex H. Keller
Hearing Site: Columbus, OH
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| 12-01764 | 02/20/2013 | Claimant(s): Annette Kitchen
Claimant Lawyers(s): Annette Kitchen
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): David H. Denboer
Arbitrator(s): Charles D. Underwood
Hearing Site: Columbus, OH
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| 12-00916 | 11/26/2012 | Claimant(s): The Huntington Investment Company
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Kevin Stryker
Respondent Lawyers(s): Kevin Alston Stryker
Arbitrator(s): Emily J. Lewis
Hearing Site: Columbus, OH
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| 12-01757 | 09/06/2012 | Claimant(s): The Huntington Investment Company
Claimant Lawyers(s): Kevin L. Murch
Respondent(s): Douglas Murphy
Respondent Lawyers(s): Douglas Spencer Murphy
Arbitrator(s): Thomas R. Skulina
Hearing Site: Columbus, OH
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| 11-04344 | 05/15/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Jonathan Brimley
Respondent Lawyers(s): Dennis M. Fitzgerald
Arbitrator(s): Alex H. Keller
Hearing Site: Columbus, OH
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| 10-02428 | 12/16/2010 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Sherry Maynard
Respondent Lawyers(s): John L. Einstein
Arbitrator(s): Carol M. Stoner
Hearing Site: Columbus, OH
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| 08-01874 | 06/29/2010 | Claimant(s): Associated Financial Group.
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Thomas Ensign, Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming, Thomas Ensign
Arbitrator(s): Charles D. Underwood, David W. Stanton, Erick R. Zanner
Hearing Site: Columbus, OH
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| 09-05188 | 04/08/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffery Westerman
Respondent Lawyers(s): Jeffery Luke Westerman
Arbitrator(s): Robert P. Fogarty, Alex H. Keller, Dale A. Crawford
Hearing Site: Columbus, OH
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| 09-05258 | 04/08/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): David Moore
Respondent Lawyers(s): David N. Moore
Arbitrator(s): W. Pat Conners, Thomas J. McAllister, Erwin John Dugasz
Hearing Site: Columbus, OH
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