| 21-00601 | 06/29/2021 | Claimant(s): Nicholas Thompson
Claimant Lawyers(s): Nicholas Thompson
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Gerald W. Hepp
Hearing Site: Indianapolis, IN
|  | $0 |
| 19-03556 | 05/17/2021 | Claimant(s): Donna Wagner
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Perry, Brokers International Financial Services
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Lynn Hirschfeld Brahin, Robert David Epstein, Natalie R Dickey
Hearing Site: Indianapolis, IN
| | $795,929 |
| 20-03743 | 04/05/2021 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): H. Beck.
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Jeffry M. Bauer, Mark L Miller, Jonathan B. Gilbert
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206 |
| 19-02721 | 09/22/2020 | Claimant(s): Darlene Aguirre, Darlene Aguirre IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jason Williams
Respondent Lawyers(s): Dochtor Kennedy
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
| | $73,000 |
| 20-00590 | 09/04/2020 | Claimant(s): Louis Hill, Marsha Hill
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Perry, Brokers International Financial Services
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Jeffry M. Bauer, Lynn Hirschfeld Brahin, Natalie R Dickey
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206/12504 |
| 18-03600 | 08/14/2020 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Michael J. Meeusen, Raymond M. Kirtley, Jill Elise Vestal
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206/12504 |
| 18-02420 | 08/12/2019 | Claimant(s): Jill Morris
Claimant Lawyers(s): John L. Davis
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | $125 |
| 18-01741 | 03/12/2019 | Claimant(s): James Molitor
Claimant Lawyers(s): James Molitor
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert J. Scafuri, Sherrill Wm Colvin, James Aaron Morrow
Hearing Site: Indianapolis, IN
| | $0 |
| 17-01734 | 12/11/2018 | Claimant(s): Bruce Hink
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Benjamin Biard
Arbitrator(s): Donald Glen Russell, Raymond P. Buschmann, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Expungement |
| 17-01293 | 08/27/2018 | Claimant(s): LeAnn Blackwell
Claimant Lawyers(s): Raymond Daniel Faust
Respondent(s): John Whitaker, Stifel, Nicolaus & Co.., City Securities Corporation
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Thomas F. Mahoney, Philip J. Glick, Tim V. Young
Hearing Site: Indianapolis, IN
| | $0 |
