24-00972 | 11/26/2024 | Claimant(s): Fred Huecker, Susan Huecker Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Lawrence Nagel, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joel M. Everest, John O. Lukanski Arbitrator(s): George G. Kurschner Hearing Site: Louisville, KY
| | $26,156 |
21-01762 | 04/10/2024 | Claimant(s): Melvin Menke Claimant Lawyers(s): Bradley D. Schnur Respondent(s): Richard Coleman, William Brown, Richard James & Associates. Respondent Lawyers(s): Frank Barravechia, Richard James Coleman, William Robert Brown Arbitrator(s): Julius Z. Frager Hearing Site: Louisville, KY
| | Dismissed by Rule 12511&12212© |
21-02359 | 07/07/2023 | Claimant(s): Donna Dubroja Trust UA 11/19/09 Claimant Lawyers(s): Phyllis Sower Respondent(s): Christopher Wiedmar, Gregory Russell, Mitchell Barnes, Northwestern Mutual Investment Services Respondent Lawyers(s): Joel Wertman Arbitrator(s): Frederick Ramos, Raymond M. Kirtley, Jerry Gale McGrew Hearing Site: Louisville, KY
| | Expungement |
20-03955 | 05/17/2023 | Claimant(s): Isabelita Wijangco, Isabelita Wijangco IRA, Isabelita Wijangco Revocable Trust Claimant Lawyers(s): Michael A. Valenti Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Niels P. Murphy Arbitrator(s): Richard W. Dissen Hearing Site: Louisville, KY
| | Expungement |
21-02073 | 08/18/2022 | Claimant(s): Dennis Pickett Claimant Lawyers(s): Dennis W. Pickett Respondent(s): TD Ameritrade., Citadel Securities LLC Respondent Lawyers(s): Kevin H. Lewis, Mark L. Parmelee Arbitrator(s): Gregory Hunter Mathews Hearing Site: Louisville, KY
| | $0 |
19-01006 | 07/15/2022 | Claimant(s): Frank K. Lee, IRA Claimant Lawyers(s): Richard B. Fosher Respondent(s): First Kentucky Securities Corporation Respondent Lawyers(s): Richard S. Frankowski Arbitrator(s): Stuart D. Summers, Steven Michael McCauley, Kim L. Kirn Hearing Site: Louisville, KY
| | $609,050 |
18-04310 | 04/21/2022 | Claimant(s): Judith Cambron Claimant Lawyers(s): James P. McCrocklin Respondent(s): Christopher Hibbard, Raymond, James & Associates., Patrick Strehl Respondent Lawyers(s): Christopher Lee Hibbard, Peter S. Fruin Arbitrator(s): John R. Michael, Linda W. Hester, Robert David Epstein Hearing Site: Louisville, KY
| | Expungement |
21-01994 | 03/24/2022 | Claimant(s): Avery Wolinsky, Benjamin Wolinsky, Carol Avery, Robert Wolinsky, Nexial Investment Club Claimant Lawyers(s): Avery Beau Wolinsky Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Nikolas S. Komyati Arbitrator(s): Michael L. Lyons, James A. McIntosh, Mark Alan Bond Hearing Site: Louisville, KY
| | Dismissed by Rule 12206 |
20-00839 | 12/28/2021 | Claimant(s): Bruce Rogers, Kent Rogers Claimant Lawyers(s): Richard B. Fosher Respondent(s): Dinosaur Financial Group, L.L.C Respondent Lawyers(s): M. William Munno Arbitrator(s): Amelia F. Adams, Richard W. Dissen, Allen M. Kerpan Hearing Site: Louisville, KY
| | $0 |
21-01678 | 11/19/2021 | Claimant(s): John Smith Claimant Lawyers(s): John E. Smith Respondent(s): Robinhood Financial. Respondent Lawyers(s): Richard J. Davis Arbitrator(s): Michael J. Meeusen Hearing Site: Louisville, KY
| | $0 |