| 12-04170 | 11/29/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Jeffery Thomas
Respondent Lawyers(s): Jeffery Dwayne Thomas
Arbitrator(s): Alex H. Keller
Hearing Site: Charleston, WV
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| 12-01242 | 06/05/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Walter Russell
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Alex H. Keller
Hearing Site: Columbus, OH
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| 11-02681 | 09/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): William French III
Respondent Lawyers(s): William Henry French III
Arbitrator(s): Alex H. Keller
Hearing Site: Charleston, WV
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| 11-04344 | 05/15/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Jonathan Brimley
Respondent Lawyers(s): Dennis M. Fitzgerald
Arbitrator(s): Alex H. Keller
Hearing Site: Columbus, OH
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| 11-01303 | 10/17/2011 | Claimant(s): John Williams
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Deborah Tucker, Kenneth Tucker
Respondent Lawyers(s): Stephen Meyer
Arbitrator(s): Thomas R. Skulina, Alex H. Keller, Harvey Michael Rosenberg
Hearing Site: Charleston, WV
| | Expungement |
| 09-05188 | 04/08/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffery Westerman
Respondent Lawyers(s): Jeffery Luke Westerman
Arbitrator(s): Robert P. Fogarty, Alex H. Keller, Dale A. Crawford
Hearing Site: Columbus, OH
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| 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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| 08-02881 | 06/30/2009 | Claimant(s): Carlos Reisen
Claimant Lawyers(s): William A. Healy
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Philip C. Johnston, Alex H. Keller, Marilyn R. Rathbun
Hearing Site: Cincinnati, OH
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