| 20-03078 | 10/13/2021 | Claimant(s): James Alexander
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Joseph Depasquale, American Capital Partners
Respondent Lawyers(s): Michael H. Ference
Arbitrator(s): Bill Swinford, Frederick Ramos, Janet Marie Graham
Hearing Site: Louisville, KY
|  | Expungement |
| 14-00467 | 07/20/2016 | Claimant(s): Bruce Botts, Lynne Botts
Claimant Lawyers(s): Bruce Botts, Lynne Botts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Bill Swinford, Jeffrey M. Bain, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | 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 |
| 14-00180 | 04/21/2015 | Claimant(s): Paul Holland
Claimant Lawyers(s): Paul A. Holland
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | $0 |
| 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 |
| 13-00753 | 01/24/2014 | Claimant(s): Frank Cheli
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Bill Swinford
Hearing Site: Indianapolis, IN
| | Expungement |
| 12-02052 | 10/25/2013 | Claimant(s): Anne R. Jones
Claimant Lawyers(s): David S Blessing
Respondent(s): Grover Cook, Oppenheimer & Co..
Respondent Lawyers(s): Grover Keith Cook, Leo Kogan
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | $126,510 |
| 11-01103 | 10/22/2012 | Claimant(s): Thomas Vogel, Thomas Vogel IRA
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Bill Swinford, James A. Melfi, Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $0 |
| 11-02535 | 08/27/2012 | Claimant(s): George W Hussey
Claimant Lawyers(s): David Young Parker
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Bill Swinford, Fred M. Ridolphi, Neil Harvey Smith
Hearing Site: Nashville, TN
| | $0 |
| 11-03721 | 07/31/2012 | Claimant(s): Corery Price
Claimant Lawyers(s): Corery L. Price
Respondent(s): ING Direct Investing.
Respondent Lawyers(s): C. Dean Little
Arbitrator(s): Bill Swinford, Hugh J. Moore, Mary Neil Price
Hearing Site: Nashville, TN
| | $0 |
