| 11-04556 | 03/08/2013 | Claimant(s): Lori Strayn, Payton Ashleigh Strayn U/NV/UTMA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Wells Fargo Advisors, Fred Snyder, E*Trade Securities LLC, Robert Strayn
Respondent Lawyers(s): Deirdre Wolff, John Bersin, Robert Kevin Strayn
Arbitrator(s): Paul Lansing, Sherrill Wm Colvin, Robert David Epstein
Hearing Site: Indianapolis, IN
|  | $118,217 |
| 11-03319 | 10/11/2012 | Claimant(s): Lyle Amrhein, Ray and Evelyn Amrhein Joint Acct.
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jerry Smith, Regional Investment Services.
Respondent Lawyers(s): Jerry Allen Smith, Jerry Fedasch
Arbitrator(s): Tim V. Young, Sherrill Wm Colvin, Stephen L. Flint
Hearing Site: Indianapolis, IN
| | $177,325 |
| 11-01815 | 09/12/2012 | Claimant(s): Doug Siegel, Teri Siegel, Terri Siegel IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Joseph V. Simeri, Robert David Epstein, William Gibson Heller
Hearing Site: Indianapolis, IN
| | $8,500 |
| 11-01585 | 05/15/2012 | Claimant(s): Roberta Eaton, Rondal Eaton Trust
Claimant Lawyers(s): Zachary J. Eichel
Respondent(s): Chase Investment Services Corp., Jeffrey Roache
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Allan Weiss, Raymond M. Kirtley, William Lawrence Spellman
Hearing Site: Indianapolis, IN
| | $0 |
| 10-05708 | 04/20/2012 | Claimant(s): David Fox
Claimant Lawyers(s): Brian G. Issacson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Stuart D. Summers, Todd L. Barlow, Stephen L. Flint
Hearing Site: Indianapolis, IN
| | $375 |
| 10-00853 | 02/23/2012 | Claimant(s): Robert Davis, Thresa Stroud, BROCO II, The Janene Davis Living Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Beth A. Black
Arbitrator(s): Gary P. Price, Kathleen A. DeLaney, Jason Alexander Beer
Hearing Site: Indianapolis, IN
| | Expungement |
| 10-04477 | 01/11/2012 | Claimant(s): Reuben Lengacher, Rose Lengacher
Claimant Lawyers(s): G. Martin Cole
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Stuart D. Summers, John W. Guy, F. Wesley Bowers
Hearing Site: Indianapolis, IN
| | Expungement |
| 10-04649 | 12/22/2011 | Claimant(s): The Estate of Theodore M. Krizman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CFD Investments.
Respondent Lawyers(s): Andrew J. Dorman
Arbitrator(s): G. Donald Steel, Judith Ann Estabrook Shepard, Leonard Arthur Nelson
Hearing Site: Indianapolis, IN
| | $0 |
| 10-00899 | 09/21/2011 | Claimant(s): Lorrie Rink, Michael Rink
Claimant Lawyers(s): Mark E Maddox
Respondent(s): Lisa Stover, Primevest Financial Services.
Respondent Lawyers(s): David Williams Russell
Arbitrator(s): Tim V. Young, John L. Krauss, James A. Morrow
Hearing Site: Indianapolis, IN
| | Stipulated Award and Expungement |
| 09-05036 | 08/03/2011 | Claimant(s): Jane McVey
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Alicia Rasche, Clyde Benninghoff, Lawrence Rasche
Respondent Lawyers(s): Arthur I. Jacobs, Reed S. Schmitt
Arbitrator(s): Todd L. Barlow, Joseph V. Simeri, Christine M. Arnold
Hearing Site: Indianapolis, IN
| | Stipulated Award |
