12-04088 | 08/06/2014 | Claimant(s): Morgan Stanley Smith Barney FA Notes, Morgan Stanley Smith Barney LLC Claimant Lawyers(s): Samuel P Mauch Respondent(s): Gary Barr Respondent Lawyers(s): Michael A. Valenti Arbitrator(s): Bill Swinford, Martin Augustus Graf, Edwin Joseph Rehrman Hearing Site: Louisville, KY
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13-03159 | 04/29/2014 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): John Lee Respondent Lawyers(s): John Thomas Lee Arbitrator(s): James P. McCrocklin Hearing Site: Louisville, KY
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12-01169 | 05/07/2013 | Claimant(s): Dustin Luckett Claimant Lawyers(s): Theodore Walton Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): Thomas M. L. Metzger Arbitrator(s): Sharon R. Merriman Hearing Site: Louisville, KY
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09-03877 | 02/15/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Timothy N. Will Respondent(s): David Neison Respondent Lawyers(s): David C. Neison Arbitrator(s): Larry P. Larsen Hearing Site: Louisville, KY
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11-04101 | 11/08/2012 | Claimant(s): ING Financial Partners., ING Life Insurance and Annuity Company Claimant Lawyers(s): Steven E Mellen Respondent(s): Jeanie O'Daniel Respondent Lawyers(s): Stephen G. Amato Arbitrator(s): Barbara Black, Coleman Robert Perry, Linda W. Hester Hearing Site: Louisville, KY
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11-03768 | 07/31/2012 | Claimant(s): Jeffrey Jennings Claimant Lawyers(s): Jeff Jennings Respondent(s): Morgan Stanley Respondent Lawyers(s): Marcie Mintz Arbitrator(s): Bill Swinford, James Clifton Stone, Jeffrey M. Bain Hearing Site: Louisville, KY
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11-01937 | 07/20/2012 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward Walton Respondent(s): Bradley Barnett Respondent Lawyers(s): M. Tyler Reynolds Arbitrator(s): Richard B. Lewis Hearing Site: Louisville, KY
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10-02668 | 06/01/2012 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): David Markun Respondent(s): John Hopkins Respondent Lawyers(s): John H. Hopkins Arbitrator(s): Thomas J. Ray Hearing Site: Louisville, KY
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10-02497 | 02/09/2012 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Andrew Park Respondent(s): James Onkst, Regina Onkst Respondent Lawyers(s): Stuart D. Meissner Arbitrator(s): Peter Ordower, John R. Michael, Enrico A. Mazzoli Hearing Site: Louisville, KY
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08-03514 | 01/13/2012 | Claimant(s): Thomas Gorter Claimant Lawyers(s): David B. Cosgrove Respondent(s): Questar Capital Corporation Respondent Lawyers(s): Sonia E. O'Donnell Arbitrator(s): David W. Stanton, Billy G. Hopkins, John Keith Benson Hearing Site: Louisville, KY
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