| 16-01612 | 08/15/2017 | Claimant(s): Patricia Bohanon
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael R. Gaico
Arbitrator(s): Jim Geiger, Lawrence W. Arness, Mark Christian Travis
Hearing Site: Louisville, KY
|  | Expungement |
| 11-03420 | 08/10/2017 | Claimant(s): Peter Laskarzewski, Peter M. Laskarzewski Rev Trust
Claimant Lawyers(s): Peter M. Laskarzewski
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Joseph M. Callow
Arbitrator(s): Jane D. Lollis, Andrew R. Present, Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | $0 |
| 15-02453 | 08/08/2017 | Claimant(s): Patricia Dash
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Fera Shivaee, Centaurus Financial.
Respondent Lawyers(s): Nathan E. Smith
Arbitrator(s): Robert P. Ross, Jane D. Lollis, Gregory Hunter Mathews
Hearing Site: Louisville, KY
| | Expungement |
| 15-00579 | 03/01/2017 | Claimant(s): Glen Raque
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s):
Hearing Site: Louisville, KY
| | Expungement |
| 15-00202 | 11/02/2016 | Claimant(s): Elizabeth Johnson
Claimant Lawyers(s): Elizabeth H. Johnson
Respondent(s): Lloyd Painter, Painter Financial
Respondent Lawyers(s): Brian Nally
Arbitrator(s): James Clifton Stone, Allan Weiss, Anthony G. Belak
Hearing Site: Louisville, KY
| | $0 |
| 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 |
| 14-02953 | 07/18/2016 | Claimant(s): Ann Oldfather, F/B/O Ann B. Oldfather, Oldfather & Morris Profit Sharing Plan
Claimant Lawyers(s): Robert S. Deskins
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jill Bradley, Wachovia Securities, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Allan Weiss, Robert Laurence Astorino
Hearing Site: Louisville, KY
| | $181,757 |
| 14-02756 | 03/25/2016 | Claimant(s): Woodcock Foundation
Claimant Lawyers(s): Christopher W. Haden
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Charles H. Maguire, Amelia F. Adams, Fred J. Naffziger
Hearing Site: Louisville, KY
| | Expungement |
| 13-02409 | 03/01/2016 | Claimant(s): Teresa Wiles
Claimant Lawyers(s): Richard B Fosher
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Bill Swinford, Stuart D. Summers, Michael E. Martin
Hearing Site: Louisville, KY
| | $134,530 |
| 14-03353 | 06/01/2015 | Claimant(s): Ruth Thompson
Claimant Lawyers(s): Jay D. McShurley
Respondent(s): Bobbie Hahn, Edward Jones
Respondent Lawyers(s): Joseph K. Donovan
Arbitrator(s): D. Bruce Shine
Hearing Site: Louisville, KY
| | Dismissed by Rule 12206 |
