| 14-00986 | 02/23/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Brandon Neal
Respondent Lawyers(s): Michael A. Valenti
Arbitrator(s): Amelia F. Adams, Anthony G. Belak, Martin Augustus Graf
Hearing Site: Louisville, KY
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| 12-03096 | 02/19/2016 | Claimant(s): Michael Brown
Claimant Lawyers(s): Michael Owen Brown
Respondent(s): Chhaganbhai Patel, Jashuben Patel
Respondent Lawyers(s): Charles C. Mihalek
Arbitrator(s): Randall S. Strause
Hearing Site: Louisville, KY
| | Expungement |
| 14-02703 | 08/04/2015 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Canela Greenwood
Respondent Lawyers(s): Canela N. Greenwood
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
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| 14-03544 | 08/04/2015 | Claimant(s): Vaughan Scott
Claimant Lawyers(s): William W. Allen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Tim V. Young
Hearing Site: Louisville, KY
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| 14-02112 | 06/25/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol Li
Respondent(s): David Pennington
Respondent Lawyers(s): David Steele Pennington
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Louisville, KY
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| 14-01416 | 06/01/2015 | Claimant(s): Robert Armstrong
Claimant Lawyers(s): William W. Allen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): D. Bruce Shine
Hearing Site: Louisville, KY
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| 14-00744 | 02/13/2015 | Claimant(s): Julie Farkas
Claimant Lawyers(s): Julie B. Farkas
Respondent(s): Amy Brannen, Wells Fargo Advisors, Jennifer Reigle, John Gardner, Michael Brannen, Sheila Kerr
Respondent Lawyers(s): William W. Allen
Arbitrator(s): Allan Weiss, Jan M. West, James Douglas Wilbanks
Hearing Site: Louisville, KY
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| 14-02216 | 01/12/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): John Clancy
Respondent Lawyers(s): John Francis Clancy
Arbitrator(s): Randall S. Strause
Hearing Site: Louisville, KY
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| 12-01795 | 11/14/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Jane D. Lollis, Joseph Patrick Cottingham, Edward John O'Brien
Hearing Site: Louisville, KY
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| 14-00105 | 09/15/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Dennis Dixon
Respondent Lawyers(s): Dennis Crowder Dixon
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
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