19-02570 | 02/26/2020 | Claimant(s): Stokes Baird Claimant Lawyers(s): William W. Allen Respondent(s): J.J.B. Hilliard, W.L. Lyons Respondent Lawyers(s): Alexander M. Marks Arbitrator(s): Gregory Hunter Mathews Hearing Site: Louisville, KY
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16-01158 | 08/02/2017 | Claimant(s): Deborah Greenlee-Keck Claimant Lawyers(s): Matthew W. Schramm Respondent(s): Wells Fargo Advisors, J.P. Morgan Securities Respondent Lawyers(s): Jeffrey S. Dunlap, William W. Allen Arbitrator(s): Robert J. Scafuri, Judith Ann Estabrook Shepard, F. Bradford Johnson Hearing Site: Indianapolis, IN
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16-01038 | 12/20/2016 | Claimant(s): Julie Farkas Claimant Lawyers(s): Julie B. Farkas Respondent(s): Andrew Moro, Wells Fargo Advisors, Kenneth Weiss, Richard Wilhelm, Sheila Kerr Respondent Lawyers(s): William W. Allen Arbitrator(s): Amelia F. Adams 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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14-01416 | 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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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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