| 08-02129 | 07/20/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Kevin Leet
Respondent Lawyers(s): Brigid O. Gies
Arbitrator(s): John C. Schenkenfelder, Amelia F. Adams, Alex H. Keller
Hearing Site: Louisville, KY
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| 08-00463 | 04/27/2009 | Claimant(s): Stifel, Nicolaus & Company.
Claimant Lawyers(s): Christie A. Moore
Respondent(s): Thomas Polston
Respondent Lawyers(s): Bruce D. Atherton
Arbitrator(s): Patrick J. Burley, David T. Maddux, Anthony Ray Harris
Hearing Site: Louisville, KY
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| 08-02542 | 03/31/2009 | Claimant(s): James Davenport
Claimant Lawyers(s): Danny J. Basil
Respondent(s): Frank Black
Respondent Lawyers(s): Frank Black
Arbitrator(s): G. Brooks Euler
Hearing Site: Louisville, KY
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| 08-01305 | 01/23/2009 | Claimant(s): John Blanchette
Claimant Lawyers(s): John T. Blanchette
Respondent(s): FFP Securities.
Respondent Lawyers(s): Jessica F. Longobardi
Arbitrator(s): Hugh C. Durbin
Hearing Site: Louisville, KY
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| 07-01779 | 01/24/2008 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Forrest M. Smith
Respondent(s): Carl Hyde
Respondent Lawyers(s): Carl F. Hyde
Arbitrator(s): G. Brooks Euler
Hearing Site: Louisville, KY
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| 06-04988 | 01/10/2008 | Claimant(s): Michael Young
Claimant Lawyers(s): Michael R. Young
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): R. Stan Kramer Jr.
Arbitrator(s): Carolyn K. Balleisen
Hearing Site: Louisville, KY
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| 05-04639 | 12/21/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): William W. Allen
Respondent(s): David Pennington, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Davidson, Russell Sayre
Arbitrator(s): Amelia F. Adams, Carolyn K. Balleisen, John D. Robb
Hearing Site: Louisville, KY
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| 07-00904 | 11/21/2007 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): John Craine
Respondent Lawyers(s): John Edwin Craine
Arbitrator(s): Patrick J. Burley, Marc E. Henn, Al P. Lawing
Hearing Site: Louisville, KY
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| 07-00510 | 10/26/2007 | Claimant(s): Eddie Miller
Claimant Lawyers(s): Eddie Lee Miller
Respondent(s): PNC Investments
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Lawrence Reginald Wagner, Gary P. Price, Jan M. West
Hearing Site: Louisville, KY
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