| 13-01667 | 02/10/2015 | Claimant(s): John Frencl
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Lisa Shusterman, Coleman Robert Perry, Billy G. Hopkins
Hearing Site: Louisville, KY
|  | Expungement |
| 12-04007 | 10/21/2014 | Claimant(s): Don Herbert & Mary C. Herbert Trust
Claimant Lawyers(s): David Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Kenneth M. Jackson, Arthur L. Tepper, Edwin Joseph Rehrman
Hearing Site: Louisville, KY
| | Expungement |
| 14-00474 | 10/17/2014 | Claimant(s): Douglas Lowy
Claimant Lawyers(s): Douglas C. Lowy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Steven H. Vogel
Hearing Site: Louisville, KY
| | $88 |
| 13-01538 | 09/19/2014 | Claimant(s): The Estate of Mary Elise Anderson
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Bill Swinford, Randall S. Strause, Billy G. Hopkins
Hearing Site: Louisville, KY
| | $0 |
| 12-04128 | 03/21/2014 | Claimant(s): John Caudill, Molly Caudill
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Amelia F. Adams, Jeffrey M. Bain, Harold G. Wren
Hearing Site: Louisville, KY
| | $202,375 |
| 12-01901 | 04/24/2013 | Claimant(s): Norbert Carey
Claimant Lawyers(s): Norbert C. Carey
Respondent(s): Douglas Justice, PNC Investments
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Louisville, KY
| | $4,395 |
| 11-04045 | 04/08/2013 | Claimant(s): Douglas Osburn
Claimant Lawyers(s): Laura E. Landenwich
Respondent(s): Chad Miller, David Taggart, Touchtrade.com.
Respondent Lawyers(s): Chad Eugene Miller, David Christopher Taggart
Arbitrator(s): Richard B. Lewis, Jan M. West, James Douglas Wilbanks
Hearing Site: Louisville, KY
| | $0 |
| 11-04768 | 02/25/2013 | Claimant(s): David Bobo
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Joseph V. Simeri
Hearing Site: Louisville, KY
| | $103,290 |
| 12-01700 | 01/16/2013 | Claimant(s): Angela Fogle
Claimant Lawyers(s): Angela Fogle
Respondent(s): Elizabeth Hammack, Edward Jones
Respondent Lawyers(s): Joseph D'Elia
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Louisville, KY
| | $0 |
| 11-00973 | 05/04/2012 | Claimant(s): Chhaganbhai Patel, Jashuben Patel
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Naveen Bhagwani, Shondeep Balchandani
Respondent Lawyers(s): Naveen K. Bhagwani, Shondeep Sajan Balchandani
Arbitrator(s): Bill Swinford, Bernard D. Leachman, William Phillip Emrick
Hearing Site: Louisville, KY
| | $1,027,600 |
