| 07-01729 | 07/30/2008 | Claimant(s): Gayle Patton, Ira Patton
Claimant Lawyers(s): Jeff S. Daniel
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Valerie J. Hamm, Allan Weiss, Bruce W. Hanks
Hearing Site: Louisville, KY
|  | $5,297,000 |
| 07-02499 | 07/18/2008 | Claimant(s): Bernice Wright
Claimant Lawyers(s): Charles C. Mihalek
Respondent(s): Byron Holley, A.G. Edwards & Sons.
Respondent Lawyers(s): Anita M. Britton
Arbitrator(s): Jeffrey M. Bain, Todd Parker Lowe, Rose H. Benkert
Hearing Site: Louisville, KY
| | $177,000 |
| 07-01984 | 05/06/2008 | Claimant(s): Robert Wells
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Banc One Securties Corp.
Respondent Lawyers(s): Andrew I Sutter
Arbitrator(s): James Clifton Stone, Hugh C. Durbin, Randall S. Strause
Hearing Site: Louisville, KY
| | $0 |
| 06-05197 | 03/05/2008 | Claimant(s): Billy Willoughby, Carol Morford, Clay Faulconer, Edward Graham, Helen Phillips, James Hellard, James Phillips, Jimmie Embry, Luster Palmer, Marcia Hicks, Richard Shelton, Robert McDonnell
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Byron Holley, A.G. Edwards & Sons.
Respondent Lawyers(s): Amy C. Johnson
Arbitrator(s): Bill Swinford, John P. McShane, David T. Maddux
Hearing Site: Louisville, KY
| | $497,071 |
| 06-05020 | 11/21/2007 | Claimant(s): Jerry Pinion, Mitchell Borders, Nancy Mueller, Patricia Beall, Paul Ponder
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): A.G. Edwards & Sons., Sherry Holley
Respondent Lawyers(s): Amy C. Johnson
Arbitrator(s): John R. Michael, Jan M. West, Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | $0 |
| 06-04128 | 10/26/2007 | Claimant(s): Herbert Kinman
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien
Arbitrator(s): Bill Swinford, Gorman Jones Roberts, Anthony G. Belak
Hearing Site: Louisville, KY
| | $0 |
| 06-05133 | 10/02/2007 | Claimant(s): Sylvia Alford Bush Trust
Claimant Lawyers(s): Nancy Oliver Roberts
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Hugh C. Durbin, Gail Burke Tway, Robert M. Bath
Hearing Site: Louisville, KY
| | $0 |
| 07-01246 | 09/13/2007 | Claimant(s): Robert L. Hill and Mary Hill
Claimant Lawyers(s): Christopher D. Hill
Respondent(s): Jeffrey Brauley, UBS Financial Services Inc., Richard Wilhelm
Respondent Lawyers(s): Margarita L. Marsico
Arbitrator(s): Lawrence W. Arness
Hearing Site: Louisville, KY
| | $425 |
