| 13-03439 | 06/02/2014 | Claimant(s): Patrick Cottrell
Claimant Lawyers(s): T. John Kirk
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Brian H. Oates
Arbitrator(s): Stuart D. Summers
Hearing Site: Indianapolis, IN
|  | $17,942 |
| 13-02915 | 05/01/2014 | Claimant(s): Steve Manley
Claimant Lawyers(s): Steve Manley
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Ralph M. Goren
Hearing Site: Indianapolis, IN
| | $6,574 |
| 13-00416 | 03/05/2014 | Claimant(s): R. Block
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Paul Lansing
Hearing Site: Indianapolis, IN
| | $0 |
| 13-00753 | 01/24/2014 | Claimant(s): Frank Cheli
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Bill Swinford
Hearing Site: Indianapolis, IN
| | Expungement |
| 12-01858 | 01/22/2014 | Claimant(s): Carolyn Hamilton, Frank A. Hamilton (Deceased)IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Thomas J. McAllister, Irving A. Chesler, Robert David Epstein
Hearing Site: Indianapolis, IN
| | Expungement |
| 12-01693 | 09/16/2013 | Claimant(s): Saddlebag
Claimant Lawyers(s): David M. Levy
Respondent(s): Jefferies & Company., Jefferies Group.
Respondent Lawyers(s): Hal S. Shaftel
Arbitrator(s): John W. Guy, Gary P. Price, James A. Klimek
Hearing Site: Indianapolis, IN
| | $7,000,000 |
| 11-03273 | 08/27/2013 | Claimant(s): NNN One Northlake Place 3, NNN One Chesterfield Place 1, The Estate of Earl G. Matherly
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Sammons Securities Company
Respondent Lawyers(s): Christopher R. Murphy
Arbitrator(s): Lawrence W. Arness, Enrico A. Mazzoli, Robert David Epstein
Hearing Site: Indianapolis, IN
| | Expungement |
| 12-01999 | 08/19/2013 | Claimant(s): Lee Sexton
Claimant Lawyers(s): Martin T. Fletcher
Respondent(s): Scott Cook, Edward Jones
Respondent Lawyers(s): Mark G. Vaughan
Arbitrator(s): Monette E. Draper
Hearing Site: Indianapolis, IN
| | Expungement |
| 11-03539 | 07/19/2013 | Claimant(s): Lois Padgett, Vic Padgett
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Amelia F. Adams
Hearing Site: Indianapolis, IN
| | Expungement |
| 12-03147 | 04/24/2013 | Claimant(s): Charles Wood
Claimant Lawyers(s): Helen F. Wood
Respondent(s): Alfredo Ruiz, Chad Barancyk, Diana Remboski, Margaret Glennon, Michael Derosa, SII Investments., Oak Partners.
Respondent Lawyers(s): Nathan Lamb
Arbitrator(s): Tim V. Young
Hearing Site: Indianapolis, IN
| | $0 |
