| 19-02570 | 02/26/2020 | Claimant(s): Stokes Baird
Claimant Lawyers(s): William W. Allen
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Alexander M. Marks
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Louisville, KY
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| 19-02086 | 01/17/2020 | Claimant(s): Charles Mercer
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Mark A. Sipper
Hearing Site: Louisville, KY
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| 18-02715 | 08/07/2019 | Claimant(s): Scott Brooks
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Mark A. Sipper
Hearing Site: Louisville, KY
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| 18-01992 | 07/30/2019 | Claimant(s): John Steer
Claimant Lawyers(s): Philip J. Castagno
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
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| 18-00379 | 05/15/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Todd Ratner
Respondent(s): Jason Beem
Respondent Lawyers(s): Jason Barton Beem
Arbitrator(s): Barry Goldman
Hearing Site: Louisville, KY
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| 17-01404 | 04/13/2018 | Claimant(s): Lauren Dalton
Claimant Lawyers(s): Michael Leigh
Respondent(s): Fidelity Brokerage Services LLC, Michael Galinger, Strategic Advisers Inc.
Respondent Lawyers(s): Lauren E. Ingoldsby
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
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| 17-02544 | 11/21/2017 | Claimant(s): Tracy King
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Michael L. Lyons
Hearing Site: Louisville, KY
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| 16-01038 | 12/20/2016 | Claimant(s): Julie Farkas
Claimant Lawyers(s): Julie B. Farkas
Respondent(s): Andrew Moro, Wells Fargo Advisors, Kenneth Weiss, Richard Wilhelm, Sheila Kerr
Respondent Lawyers(s): William W. Allen
Arbitrator(s): Amelia F. Adams
Hearing Site: Louisville, KY
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| 14-02603 | 11/04/2016 | Claimant(s): Harry Hadden
Claimant Lawyers(s): Steven M McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Gerald Cohen, Randall S. Strause, James Douglas Wilbanks
Hearing Site: Louisville, KY
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| 16-00296 | 06/23/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Paidemoyo Charasika
Respondent Lawyers(s): Paidemoyo Brian Charasika
Arbitrator(s): Barry Goldman
Hearing Site: Louisville, KY
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