| 11-01653 | 10/17/2012 | Claimant(s): Mary R. Brumfield Living Trust, Steven F. Brumfield Living Trust, Steven M. Brumfield Living Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Roger Ruth, MWA Financial Services Inc.
Respondent Lawyers(s): Carlos E. Mustelier, Douglas P. Whipple
Arbitrator(s): Emily J. Lewis, Alex H. Keller, Mary D. Stevenson
Hearing Site: Columbus, OH
|  | $600 |
| 10-01465 | 05/02/2011 | Claimant(s): Dolores Keener
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): David Arthur, Geneos Wealth Management., Investors Financial Advisors.
Respondent Lawyers(s): John O. Easton
Arbitrator(s): Donald B. Vaden, Alex H. Keller, John G. Byrd
Hearing Site: Charleston, WV
| | $0 |
| 10-03331 | 02/16/2011 | Claimant(s): John Yousef
Claimant Lawyers(s): John Yousef
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Alex H. Keller
Hearing Site: Cleveland, OH
| | $0 |
| 07-03128 | 12/17/2008 | Claimant(s): Walter A. Flick & Judith R. Flick JTWROS
Claimant Lawyers(s): David S. Blessing
Respondent(s): Russell Stansell, Kovack Securities Inc.
Respondent Lawyers(s): Brian Kovack, Russell Dean Stansell
Arbitrator(s): Bill Swinford, Alex H. Keller, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $52,515 |
| 07-01887 | 10/14/2008 | Claimant(s): G. Perros
Claimant Lawyers(s): Alex Coulter Cross
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Kenneth A. Bravo
Arbitrator(s): Alex H. Keller, Randall S. Strause, Jarrett Andrew Jacobs
Hearing Site: Louisville, KY
| | $128,920 |
