| 20-04184 | 12/21/2023 | Claimant(s): Michael Codispoti
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Robert David Epstein, Mark A. Sipper, John William Diether
Hearing Site: Cincinnati, OH
|  | Expungement |
| 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 |
| 19-03556 | 05/17/2021 | Claimant(s): Donna Wagner
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Perry, Brokers International Financial Services
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Lynn Hirschfeld Brahin, Robert David Epstein, Natalie R Dickey
Hearing Site: Indianapolis, IN
| | $795,929 |
| 12-01858 | 01/22/2014 | Claimant(s): Carolyn Hamilton, Frank A. Hamilton (Deceased)IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Thomas J. McAllister, Irving A. Chesler, Robert David Epstein
Hearing Site: Indianapolis, IN
| | Expungement |
| 11-04556 | 03/08/2013 | Claimant(s): Lori Strayn, Payton Ashleigh Strayn U/NV/UTMA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Wells Fargo Advisors, Fred Snyder, E*Trade Securities LLC, Robert Strayn
Respondent Lawyers(s): Deirdre Wolff, John Bersin, Robert Kevin Strayn
Arbitrator(s): Paul Lansing, Sherrill Wm Colvin, Robert David Epstein
Hearing Site: Indianapolis, IN
| | $118,217 |
| 11-01815 | 09/12/2012 | Claimant(s): Doug Siegel, Teri Siegel, Terri Siegel IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Joseph V. Simeri, Robert David Epstein, William Gibson Heller
Hearing Site: Indianapolis, IN
| | $8,500 |
