| 22-02819 | 09/27/2024 | Claimant(s): Daniela Schuvaks-Katz, Robert Alan Katz
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Andrea Steiner, Western International Securities.
Respondent Lawyers(s): Andrea Steiner, Jeffrey K. Compton
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Indianapolis, IN
|  | $0 |
| 23-00739 | 08/30/2024 | Claimant(s): Rosalie Balhan
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Edward Jones
Respondent Lawyers(s): Michelle D. Nasser
Arbitrator(s): Lynn Hirschfeld Brahin, John L. Krauss, David Joseph Remondini
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12700(a) |
| 23-03103 | 06/27/2024 | Claimant(s): Jamar Evans
Claimant Lawyers(s): Jamar Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Gregory G. Gocek
Hearing Site: Indianapolis, IN
| | $0 |
| 22-00801 | 01/30/2024 | Claimant(s): Annella Dixon
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Tracy L. Allen, Gary P. Price, F. Bradford Johnson
Hearing Site: Indianapolis, IN
| | $0 |
| 23-02221 | 01/26/2024 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Farid Farhoumand
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Crystal Lynne Johnson
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
| 23-01258 | 10/30/2023 | Claimant(s): Lois Graves, W. Graves
Claimant Lawyers(s): W. Joseph Graves
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Susan L. Walker
Hearing Site: Indianapolis, IN
| | $0 |
| 21-02081 | 10/04/2022 | Claimant(s): Jill Jester
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Dinosaur Financial Group, L.L.C
Respondent Lawyers(s): Paul Koepp
Arbitrator(s): Peter Ordower, Gary P. Price, Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
| | $429,143 |
| 21-02656 | 03/30/2022 | Claimant(s): Michael Braun IRA
Claimant Lawyers(s): Michael Braun
Respondent(s): Rydex Distributors.
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
| 20-04089 | 09/15/2021 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): Guggenheim Funds Distributors
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Philip J. Glick, Gerald W. Hepp, David E. Bailey
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504(a)(6)(A) |
| 20-03380 | 09/14/2021 | Claimant(s): Randal Kertzman
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Paul Lansing
Hearing Site: Indianapolis, IN
| | Expungement |
