13-00416 | 03/05/2014 | Claimant(s): R. Block Claimant Lawyers(s): Mark E. Maddox Respondent(s): National Planning Corporation Respondent Lawyers(s): Meagan A. Lamberti Arbitrator(s): Paul Lansing Hearing Site: Indianapolis, IN
| | $0 |
11-03421 | 01/29/2014 | Claimant(s): Philippe Burney, John Faitel, Yvette Faitel, Yvette and John Faitel Claimant Lawyers(s): Mark E. Maddox Respondent(s): Marcious Dickerson, Centaurus Financial. Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Martin Brosnan, Anthony W. Candela, Arthur James Rubiner Hearing Site: Detroit, MI
| | Expungement |
13-00290 | 08/21/2013 | Claimant(s): Celine Derunes, Franck Derunes Claimant Lawyers(s): Mark E. Maddox Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward Walton Arbitrator(s): Jeffrey L. Gaffney Hearing Site: San Diego, CA
| | $18,488 |
12-01712 | 07/12/2013 | Claimant(s): Robert Epperson IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): David H. S. Commins Arbitrator(s): Lester Friedman, Daniel M. Yamshon, Paul D. Gutierrez Hearing Site: San Francisco, CA
| | 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 |
10-04837 | 02/22/2013 | Claimant(s): Karen Wykrent, Michael Wykrent Claimant Lawyers(s): Mark E. Maddox Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Jeffrey L. Friedman Arbitrator(s): William E. Hartsfield, Karen J. Zvonecek, Edward J. Lynch Hearing Site: Dallas, TX
| | Expungement |
11-02992 | 12/06/2012 | Claimant(s): Gary Glatz on behalf of his IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): Jonathan Butenuth, Money Concepts Capital Corp Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Theodore W. Wrobleski, Stephen C. Esposito, Irving A. Chesler Hearing Site: Chicago, IL
| | Expungement |
11-03319 | 10/11/2012 | Claimant(s): Lyle Amrhein, Ray and Evelyn Amrhein Joint Acct. Claimant Lawyers(s): Mark E. Maddox Respondent(s): Jerry Smith, Regional Investment Services. Respondent Lawyers(s): Jerry Allen Smith, Jerry Fedasch Arbitrator(s): Tim V. Young, Sherrill Wm Colvin, Stephen L. Flint Hearing Site: Indianapolis, IN
| | $177,325 |
11-01040 | 07/05/2012 | Claimant(s): James N. Vangilder Revocable Trust Claimant Lawyers(s): Mark E. Maddox Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Jeffrey L. Friedman Arbitrator(s): Gerald Cohen, Julius Z. Frager, Marilyn T. Selby Hearing Site: St. Louis, MO
| | $0 |
09-06411 | 05/25/2012 | Claimant(s): Jerry Tillman, Mary Hazlewood, Michael Hazlewood, Beverly Baker and Bernice Heaton, Norman E. and Jo Ann Hughes, Virginia A. Tillman Rev Living Trust Claimant Lawyers(s): Mark E. Maddox Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Joshua D. Jones Arbitrator(s): Patrick J. Halter, Jonathan Burke Rada, Jonathan B. Gilbert Hearing Site: Memphis, TN
| | Expungement |