| 23-00099 | 12/11/2023 | Claimant(s): Greggory Keele
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
| | |
| 23-01258 | 10/30/2023 | Claimant(s): Lois Graves, W. Graves
Claimant Lawyers(s): W. Joseph Graves
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Susan L. Walker
Hearing Site: Indianapolis, IN
|  | $0 |
| 23-00126 | 07/20/2023 | Claimant(s): Michael Berger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John L. Krauss
Hearing Site: Indianapolis, IN
| | |
| 22-00804 | 02/10/2023 | Claimant(s): Scott Reed
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Sanctuary Securities.
Respondent Lawyers(s): Kathleen A. DeLaney
Arbitrator(s): Barry Goldman, Robert L. Smith, David E. Bailey
Hearing Site: Indianapolis, IN
| | |
| 20-00772 | 11/17/2022 | Claimant(s): Mark Damer, Damer Wealth Management LLC
Claimant Lawyers(s): Jacob M. O'Brien
Respondent(s): David A. Noyes & Company, Sanctuary Advisors LLC, Sanctuary Wealth Group LLC
Respondent Lawyers(s): Kevin C. Rasp
Arbitrator(s): Gary P. Price, Sherrill Wm Colvin, William Vance Hughes
Hearing Site: Indianapolis, IN
| | |
| 21-02081 | 10/04/2022 | Claimant(s): Jill Jester
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Dinosaur Financial Group, L.L.C
Respondent Lawyers(s): Paul Koepp
Arbitrator(s): Peter Ordower, Gary P. Price, Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
| | $429,143 |
| 22-00279 | 09/15/2022 | Claimant(s): David McGill
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Parkland Securities
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Carl E. Ver Beek, Robert David Epstein, David Joseph Remondini
Hearing Site: Indianapolis, IN
| | |
| 21-03077 | 07/12/2022 | Claimant(s): James McAtee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Gregory G. Gocek
Hearing Site: Indianapolis, IN
| | |
| 19-03004 | 06/09/2022 | Claimant(s): David Bergal, Milton B. Bergal Estate Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Chase Investment Services Corp., J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Robert J. Scafuri, Barry Goldman, Richard A Young
Hearing Site: Indianapolis, IN
| | |
| 21-02656 | 03/30/2022 | Claimant(s): Michael Braun IRA
Claimant Lawyers(s): Michael Braun
Respondent(s): Rydex Distributors.
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
