| 17-01767 | 08/10/2018 | Claimant(s): Denise Fry, Donna Sullivan, Denise M. Fry Living Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Tamara Steele
Respondent Lawyers(s): Robert L. Hartley
Arbitrator(s): Lynn Hirschfeld Brahin, Julia Church Kozicki, Jill Elise Vestal
Hearing Site: Indianapolis, IN
|  | $226,908 |
| 16-03238 | 01/06/2018 | Claimant(s): Est. of Franklin Douglas by its P.R.
Claimant Lawyers(s): David L. Jones
Respondent(s): Fifth Third Securities., Jeremy Schipp
Respondent Lawyers(s): D. Justin Gingerich
Arbitrator(s): Larry Evert Carlson, Paul Lansing, Raymond P. Buschmann
Hearing Site: Indianapolis, IN
| | $0 |
| 17-00926 | 12/22/2017 | Claimant(s): Jana Forster
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): LPL Financial LLC, Kodi Hermann
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): William M. Getzoff
Hearing Site: Indianapolis, IN
| | $10,889 |
| 16-03145 | 09/01/2017 | Claimant(s): Jamar Evans
Claimant Lawyers(s): Jamar J Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Paul Lansing, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $3,100 |
| 16-00180 | 05/24/2017 | Claimant(s): Marlene Lane
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Susan L. Walker, John L. Krauss, William Peter Kealey
Hearing Site: Indianapolis, IN
| | Expungement |
| 15-03071 | 04/05/2017 | Claimant(s): Alice Appel
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Indianapolis, IN
| | Expungement |
| 16-00355 | 02/15/2017 | Claimant(s): Estate of Betty Ann Eckert, The Betty Ann Eckert Living Trust
Claimant Lawyers(s): Paul D. Vink
Respondent(s): Gregory Bennington, NFP Advisor Services, The Hartfield Company.
Respondent Lawyers(s): Company President, Gara M. Seagraves
Arbitrator(s): G. Donald Steel, Terry F. Peppard, Jonathan B. Gilbert
Hearing Site: Indianapolis, IN
| | $0 |
| 15-03254 | 10/20/2016 | Claimant(s): Mehmet Akin and Adrian Akin
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): William M. Getzoff, Lawrence W. Arness, William Gibson Heller
Hearing Site: Indianapolis, IN
| | $0 |
| 15-01451 | 10/14/2016 | Claimant(s): Thomas Considine
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Liberty Partners Financial Services
Respondent Lawyers(s): Jeffrey A. Fanning
Arbitrator(s): Judith Ann Estabrook Shepard, Joseph V. Simeri, Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
| | $57,283 |
| 15-01499 | 08/31/2016 | Claimant(s): Deborah Howland, Leon Howland
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Lynn Hirschfeld Brahin, Raymond P. Buschmann, William Gibson Heller
Hearing Site: Indianapolis, IN
| | $0 |
