| 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 |
| 14-01083 | 05/21/2015 | Claimant(s): Ray Long, Sharon Long
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Raymond James Financial Services., Edward Jones
Respondent Lawyers(s): Justin Joseph D'Elia, Kelli Hartsook
Arbitrator(s): Stuart D. Summers, Tim V. Young, William Peter Kealey
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 |
| 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 |
| 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 |
| 09-05996 | 02/17/2011 | Claimant(s): Alvin L. Bridges Irrevocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Thomas Swigert
Arbitrator(s): Tim V. Young, Terresa L. Beaman, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $0 |
| 09-04135 | 12/17/2010 | Claimant(s): Annabelle Gaty, Jo Ann Caudill, Ted Gaty, Allenne G. Hatch, Indiv & as custodian, Craig Caudill, Ted E. Gaty as TTEE for the Allenne G.
Claimant Lawyers(s): Mark E Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Tim V. Young, Allan Weiss, James A. Morrow
Hearing Site: Indianapolis, IN
| | $29,822 |
| 09-03944 | 03/22/2010 | Claimant(s): Jeffrey Kraemer, Linda Kraemer
Claimant Lawyers(s): Jeffrey Kraemer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John O. Murphy
Arbitrator(s): Tim V. Young
Hearing Site: Louisville, KY
| | $59,251 |
| 06-04228 | 10/29/2007 | Claimant(s): Patricia Cavaness, Patricia Cavaness IRA
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Daniel Bookout
Respondent Lawyers(s): Daniel S. Bookout
Arbitrator(s): Lawrence W. Arness, Tim V. Young, Daniel P. Urban
Hearing Site: Indianapolis, IN
| | $894,320 |
| 05-06260 | 08/02/2007 | Claimant(s): Lorraine Caveness
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Daniel Bookout
Respondent Lawyers(s): Daniel Scott Bookout
Arbitrator(s): Lawrence W. Arness, Tim V. Young, David William Russell
Hearing Site: Indianapolis, IN
| | $298,659 |
