| 21-02359 | 07/07/2023 | Claimant(s): Donna Dubroja Trust UA 11/19/09
Claimant Lawyers(s): Phyllis Sower
Respondent(s): Christopher Wiedmar, Gregory Russell, Mitchell Barnes, Northwestern Mutual Investment Services
Respondent Lawyers(s): Joel Wertman
Arbitrator(s): Frederick Ramos, Raymond M. Kirtley, Jerry Gale McGrew
Hearing Site: Louisville, KY
|  | Expungement |
| 18-03600 | 08/14/2020 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Michael J. Meeusen, Raymond M. Kirtley, Jill Elise Vestal
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206/12504 |
| 16-03145 | 09/01/2017 | Claimant(s): Jamar Evans
Claimant Lawyers(s): Jamar J Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Paul Lansing, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $3,100 |
| 11-01585 | 05/15/2012 | Claimant(s): Roberta Eaton, Rondal Eaton Trust
Claimant Lawyers(s): Zachary J. Eichel
Respondent(s): Chase Investment Services Corp., Jeffrey Roache
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Allan Weiss, Raymond M. Kirtley, William Lawrence Spellman
Hearing Site: Indianapolis, IN
| | $0 |
| 10-01198 | 05/03/2011 | Claimant(s): Steven Wdowka, Steven E. Wdowka, IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. DePrez
Arbitrator(s): George W. Harding, Gary P. Price, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $2,512,200 |
| 09-05996 | 02/17/2011 | Claimant(s): Alvin L. Bridges Irrevocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Thomas Swigert
Arbitrator(s): Tim V. Young, Terresa L. Beaman, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $0 |
| 08-03623 | 12/15/2010 | Claimant(s): Charlie Johnson
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick King
Arbitrator(s): Monette E. Draper, Raymond M. Kirtley, John Andrew Wagner
Hearing Site: Indianapolis, IN
| | $0 |
| 09-00965 | 11/23/2009 | Claimant(s): City Securities Corporation
Claimant Lawyers(s): John T.L. Koening
Respondent(s): Brian Osner, Ameriprise Financial Services.
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): R. Van Young, Raymond M. Kirtley, Eugene G. Ziobron
Hearing Site: Indianapolis, IN
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