| 23-02221 | 01/26/2024 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Farid Farhoumand
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Crystal Lynne Johnson
Hearing Site: Indianapolis, IN
|  | Dismissed by Rule 12504 |
| 21-02656 | 03/30/2022 | Claimant(s): Michael Braun IRA
Claimant Lawyers(s): Michael Braun
Respondent(s): Rydex Distributors.
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
| 18-01201 | 10/23/2020 | Claimant(s): Arthur Bing, Bryan Davis, Holly Easton, Richard Stobbs, Yvonne Mitchell, Zoran Stoyanovich
Claimant Lawyers(s): John S. Chapman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Sharon R. Merriman, Jacqueline R. Fox, Gregory Hunter Mathews
Hearing Site: Columbus, OH
| | $450 |
| 14-02376 | 03/22/2018 | Claimant(s): Edward S. Adamy and Lois S. Adamy, TIC
Claimant Lawyers(s): Steve Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Sharon R. Merriman, Arthur L. Tepper, Edwin Joseph Rehrman
Hearing Site: Louisville, KY
| | Expungement |
| 17-00750 | 02/16/2018 | Claimant(s): Elizabeth Nickens
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): Christopher Bennett, J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Sharon R. Merriman, Barry Goldman, James E. Schlottmann
Hearing Site: Louisville, KY
| | $445,000 |
| 16-00838 | 08/10/2016 | Claimant(s): Frank Wang
Claimant Lawyers(s): Sabine Stovall
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Deborah Gale Evans
Arbitrator(s): Sharon R. Merriman
Hearing Site: Louisville, KY
| | $0 |
| 12-03292 | 09/24/2013 | Claimant(s): Carmella DiMercurio
Claimant Lawyers(s): Mitchell D. Johnson
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sharon R. Merriman
Hearing Site: St. Louis, MO
| | $62,501 |
| 08-04863 | 05/07/2010 | Claimant(s): Gerald Adkins, Gerald Adkins Irrevocable Trust
Claimant Lawyers(s): Kenneth A. Bohnert
Respondent(s): Morgan Keegan & Company., Robert Elliott
Respondent Lawyers(s): Patrice R. Walker
Arbitrator(s): Sharon R. Merriman, Robert Laurence Astorino, Stephen Ronald Crissey
Hearing Site: Louisville, KY
| | $0 |
| 08-03605 | 10/05/2009 | Claimant(s): Donna G. Leinart-Clegg, Indiv. &
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Mills, Waterstone Financial Group
Respondent Lawyers(s): David J. Freniere, Mark Wayne Mills
Arbitrator(s): Sharon R. Merriman, Kathleen A. DeLaney, James A. Morrow
Hearing Site: Indianapolis, IN
| | $500,000 |
