| 12-01858 | 01/22/2014 | Claimant(s): Carolyn Hamilton, Frank A. Hamilton (Deceased)IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Thomas J. McAllister, Irving A. Chesler, Robert David Epstein
Hearing Site: Indianapolis, IN
|  | Expungement |
| 13-01231 | 11/01/2013 | Claimant(s): Timothy Gibson
Claimant Lawyers(s): Steven M. Malina
Respondent(s): Karyl Amstutz, Randall Amstutz
Respondent Lawyers(s): Lindsay M. Hurni
Arbitrator(s): Enrico A. Mazzoli
Hearing Site: Indianapolis, IN
| | Expungement |
| 12-01693 | 09/16/2013 | Claimant(s): Saddlebag
Claimant Lawyers(s): David M. Levy
Respondent(s): Jefferies & Company., Jefferies Group.
Respondent Lawyers(s): Hal S. Shaftel
Arbitrator(s): John W. Guy, Gary P. Price, James A. Klimek
Hearing Site: Indianapolis, IN
| | $7,000,000 |
| 11-04058 | 09/11/2013 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Eric Cook, John Cate, Matthew Burton, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Carr, Timothy K. Ryan, Todd J. Kaiser
Arbitrator(s): Paul Lansing, Mary Ellen Backer, F. Bradford Johnson
Hearing Site: Indianapolis, IN
| | |
| 11-03273 | 08/27/2013 | Claimant(s): NNN One Northlake Place 3, NNN One Chesterfield Place 1, The Estate of Earl G. Matherly
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Sammons Securities Company
Respondent Lawyers(s): Christopher R. Murphy
Arbitrator(s): Lawrence W. Arness, Enrico A. Mazzoli, Robert David Epstein
Hearing Site: Indianapolis, IN
| | Expungement |
| 12-01999 | 08/19/2013 | Claimant(s): Lee Sexton
Claimant Lawyers(s): Martin T. Fletcher
Respondent(s): Scott Cook, Edward Jones
Respondent Lawyers(s): Mark G. Vaughan
Arbitrator(s): Monette E. Draper
Hearing Site: Indianapolis, IN
| | Expungement |
| 12-01946 | 08/09/2013 | Claimant(s): Lynn Sylvia
Claimant Lawyers(s): David Williams Russell
Respondent(s): PNC Investments
Respondent Lawyers(s): Deborah I. Ecker
Arbitrator(s): Rody P. Biggert
Hearing Site: Indianapolis, IN
| | |
| 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 |
| 12-03147 | 04/24/2013 | Claimant(s): Charles Wood
Claimant Lawyers(s): Helen F. Wood
Respondent(s): Alfredo Ruiz, Chad Barancyk, Diana Remboski, Margaret Glennon, Michael Derosa, SII Investments., Oak Partners.
Respondent Lawyers(s): Nathan Lamb
Arbitrator(s): Tim V. Young
Hearing Site: Indianapolis, IN
| | $0 |
| 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 |
