| 07-03166 | 02/01/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brody Weichbrodt
Respondent(s): Donald Minton, Martin Smith, Raymond, James & Associates., Stephen Merrick, Theodore Sturges
Respondent Lawyers(s): Caitlin M. Piccarello, John F. Stoviak
Arbitrator(s): Sharon R. Merriman, Terresa L. Beaman, Christine M. Arnold
Hearing Site: Indianapolis, IN
| | |
| 09-03739 | 12/03/2009 | Claimant(s): John Koehler
Claimant Lawyers(s): John Thomas Koehler
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Sari M. Alamuddin
Arbitrator(s): James P. McCrocklin
Hearing Site: Indianapolis, IN
| | |
| 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
| | |
| 07-02366 | 11/02/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Michael H. Gibson
Respondent(s): Timothy Flick, Fulcrum Securities.
Respondent Lawyers(s): Matthew S. Hardin
Arbitrator(s): Michael J. Kelley, Paul Lansing, Richard Kammen
Hearing Site: Indianapolis, IN
| | |
| 08-03605 | 10/05/2009 | Claimant(s): Donna G. Leinart-Clegg, Indiv. &
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Mills, Waterstone Financial Group
Respondent Lawyers(s): David J. Freniere, Mark Wayne Mills
Arbitrator(s): Sharon R. Merriman, Kathleen A. DeLaney, James A. Morrow
Hearing Site: Indianapolis, IN
|  | $500,000 |
| 09-00637 | 09/01/2009 | Claimant(s): Rhonda Redman
Claimant Lawyers(s): Rhonda Redman
Respondent(s): Kirk Daniels
Respondent Lawyers(s): Kirk J. Daniels
Arbitrator(s): Charles A. Ferris
Hearing Site: Indianapolis, IN
| | |
| 09-00271 | 08/03/2009 | Claimant(s): Donna Lail
Claimant Lawyers(s): Donna Lail
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Cathy Gress Springer
Arbitrator(s): Bruce Jones
Hearing Site: Indianapolis, IN
| | |
| 04-05955 | 06/04/2009 | Claimant(s): Barbara J. and Robert V. Hinshaw
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Kathleen A. DeLaney
Hearing Site: Indianapolis, IN
| | $0 |
| 08-02999 | 03/27/2009 | Claimant(s): Viktor Kilchyk
Claimant Lawyers(s): Viktor Kilchyk
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): F. Wesley Bowers
Hearing Site: Indianapolis, IN
| | $325 |
| 08-00647 | 03/13/2009 | Claimant(s): Jo Wright
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jason M. Hale
Arbitrator(s): Daniel P. Urban
Hearing Site: Indianapolis, IN
| | $18,000 |
