| 14-02756 | 03/25/2016 | Claimant(s): Woodcock Foundation
Claimant Lawyers(s): Christopher W. Haden
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Charles H. Maguire, Amelia F. Adams, Fred J. Naffziger
Hearing Site: Louisville, KY
|  | Expungement |
| 12-04128 | 03/21/2014 | Claimant(s): John Caudill, Molly Caudill
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Amelia F. Adams, Jeffrey M. Bain, Harold G. Wren
Hearing Site: Louisville, KY
| | $202,375 |
| 11-03539 | 07/19/2013 | Claimant(s): Lois Padgett, Vic Padgett
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Amelia F. Adams
Hearing Site: Indianapolis, IN
| | Expungement |
| 09-06023 | 12/20/2010 | Claimant(s): Harriet Johnson, Jan Patton, Robert Patton
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Joseph Stricklin, Morgan Keegan & Company.
Respondent Lawyers(s): Janet P. Jakubowicz
Arbitrator(s): Amelia F. Adams, Allan Weiss, Gail Burke Tway
Hearing Site: Louisville, KY
| | $0 |
| 06-03942 | 10/31/2007 | Claimant(s): The Estate of Sydney G. Smith, Jr.
Claimant Lawyers(s): Bradley R. Hoyt
Respondent(s): Raffi Oghlian, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Raffi Oghlian
Arbitrator(s): Amelia F. Adams, Stuart Arthur Reagan, Peter F. von Meister
Hearing Site: Cincinnati, OH
| | $30,000 |
