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FINRA Awards for Louisville, KY

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Displaying 10 out of 69 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0032011/22/2024Claimant(s): Todd Mercer
Claimant Lawyers(s): Michael Liftik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart Roberts
Arbitrator(s): F. Bradford Johnson
Hearing Site: Louisville, KY
23-0319804/24/2024Claimant(s): Dean Donohue
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Douglas M. Branson, J.G. Long, Shawn Ridgell
Hearing Site: Louisville, KY
23-0080203/15/2024Claimant(s): Mark Lamkin
Claimant Lawyers(s): Nathan Lamb
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni
Arbitrator(s): George G. Kurschner
Hearing Site: Louisville, KY
23-0090509/29/2023Claimant(s): Jeffrey Schultz
Claimant Lawyers(s): Joel Everest
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
22-0156906/08/2023Claimant(s): Mamadi Kourouma
Claimant Lawyers(s): Mamadi Kourouma
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): John R. Michael, Frederick Ramos, Robert S Hendricks
Hearing Site: Louisville, KY
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21-0048703/31/2023Claimant(s): Christopher Watkins, Douglas Obradovich
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Barry Goldman, Jeffrey M. Bain, Joseph Patrick Cottingham
Hearing Site: Louisville, KY
22-0174502/02/2023Claimant(s): John Smith
Claimant Lawyers(s): John Lee Smith
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Paul Lansing, Gregory Hunter Mathews, James Douglas Wilbanks
Hearing Site: Louisville, KY
22-0050512/16/2022Claimant(s): Bradley Ford
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors., USA Financial Securities Corporation
Respondent Lawyers(s): Andrea McGrew, Susan D. Duff
Arbitrator(s): Amelia F. Adams
Hearing Site: Louisville, KY
22-0054310/14/2022Claimant(s): Joseph Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Jim Geiger
Hearing Site: Louisville, KY
21-0232904/26/2022Claimant(s): Benjamin Hoehler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Douglas M. Branson
Hearing Site: Louisville, KY

69 Results

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