20-00639 | 09/21/2020 | Claimant(s): Robert Brewer Claimant Lawyers(s): Kathryn Roe Eldridge Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Robert M. Rudnicki Arbitrator(s): Bill Swinford Hearing Site: Louisville, KY
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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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14-00105 | 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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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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12-04150 | 05/20/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Jason E. Murtagh Respondent(s): Myron Barker Respondent Lawyers(s): Pamela K. Ginsburg Arbitrator(s): Bill Swinford Hearing Site: Cincinnati, OH
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12-01220 | 11/30/2012 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Brian L. Church Respondent(s): Robert McMillan Respondent Lawyers(s): Robert L. McMillan Arbitrator(s): Bill Swinford Hearing Site: Cincinnati, OH
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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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11-02959 | 01/25/2012 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Jeffrey Roache Respondent Lawyers(s): Jeffrey L. Roache Arbitrator(s): Bill Swinford Hearing Site: Indianapolis, IN
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09-03847 | 11/08/2011 | Claimant(s): Mark Lamkin Claimant Lawyers(s): Kenneth A. Bohnert Respondent(s): J.J.B. Hilliard, W.L. Lyons, PNC Brokerage Corp., PNC Investments LLC Respondent Lawyers(s): J. Curtis McCubbin, James J. Rabenstine, Thomas J. Momjian Arbitrator(s): Bill Swinford, Anthony G. Belak, Jarrett Andrew Jacobs Hearing Site: Louisville, KY
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07-01821 | 04/16/2008 | Claimant(s): Dawne Ferland Claimant Lawyers(s): Theresa M. Mohan Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): Nancy Anderson Tayborn Arbitrator(s): Bill Swinford, Christy C. Walker, Debora A. Caley Hearing Site: Cincinnati, OH
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