| 10-03300 | 12/17/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Brett Fisher
Respondent Lawyers(s): Brett Jurgen Fisher
Arbitrator(s): Sharon R. Merriman
Hearing Site: Indianapolis, IN
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| 09-04135 | 12/17/2010 | Claimant(s): Annabelle Gaty, Jo Ann Caudill, Ted Gaty, Allenne G. Hatch, Indiv & as custodian, Craig Caudill, Ted E. Gaty as TTEE for the Allenne G.
Claimant Lawyers(s): Mark E Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Tim V. Young, Allan Weiss, James A. Morrow
Hearing Site: Indianapolis, IN
|  | $29,822 |
| 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 |
| 09-01958 | 11/09/2010 | Claimant(s): Paul Harden
Claimant Lawyers(s): Jason D. May
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Thomas E. Deer
Arbitrator(s): Fred J. Naffziger, Tim V. Young, Jennifer M. Haas
Hearing Site: Indianapolis, IN
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| 10-01090 | 08/24/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Robert Hassell
Respondent Lawyers(s): Robert D. Hassell
Arbitrator(s): Donald W. Cohen
Hearing Site: Indianapolis, IN
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| 09-03246 | 07/20/2010 | Claimant(s): NRP Advisors. Inc., NRP Financial., National Retirement Partners.
Claimant Lawyers(s): John C. Holmes
Respondent(s): Jeffrey Bafs, Wade Walker, Walker Bafs Retirement Group.
Respondent Lawyers(s): Scott C. Matasar
Arbitrator(s): Sharon R. Merriman, Lawrence W. Arness, John W. Guy
Hearing Site: Indianapolis, IN
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| 09-03575 | 04/21/2010 | Claimant(s): Wanda Fraley
Claimant Lawyers(s): Robert Nast
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Monette E. Draper
Hearing Site: Indianapolis, IN
| | $0 |
| 09-05528 | 04/19/2010 | Claimant(s): Gary Hicks
Claimant Lawyers(s): Gary D. Hicks
Respondent(s): Pruco Securities., The Prudential Insurance Company of Amer
Respondent Lawyers(s): Jeffrey J. Kmoch
Arbitrator(s): Donald W. McKenzie
Hearing Site: Indianapolis, IN
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| 08-04862 | 03/15/2010 | Claimant(s): Jeremy Koch
Claimant Lawyers(s): James P. Baker
Respondent(s): Natcity Investments.
Respondent Lawyers(s): Ivan Novich
Arbitrator(s): Enrico A. Mazzoli, Robert David Epstein, Burril A. McIntyre
Hearing Site: Indianapolis, IN
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| 08-04072 | 03/10/2010 | Claimant(s): Commonwealth Financial Network
Claimant Lawyers(s): Michael G. Donovan
Respondent(s): David Vorbeck, F. Dunnuck
Respondent Lawyers(s): Paul D. Vink
Arbitrator(s): Peter L. Pointer, Patrick J. Burley, Jeffrey Richard Chiappetta
Hearing Site: Indianapolis, IN
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