| 21-01437 | 02/22/2022 | Claimant(s): John Hutchens
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fifth Third Securities., Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Nuviah Shirazi, R. Samuel Gilley
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | |
| 21-01344 | 01/11/2022 | Claimant(s): Rhys Helt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, RBC Capital Markets LLC
Respondent Lawyers(s): Jennifer E. Novoselsky, Tiana M. Towns
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
| | |
| 21-00377 | 01/07/2022 | Claimant(s): David Hays
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Parkland Securities
Respondent Lawyers(s): Alexandra Hutchinson
Arbitrator(s): Peter Ordower
Hearing Site: Indianapolis, IN
| | |
| 21-01145 | 10/22/2021 | Claimant(s): Tyler Maddox
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Sherrill Wm Colvin, John L. Krauss, David Joseph Remondini
Hearing Site: Indianapolis, IN
| | |
| 20-04089 | 09/15/2021 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): Guggenheim Funds Distributors
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Philip J. Glick, Gerald W. Hepp, David E. Bailey
Hearing Site: Indianapolis, IN
|  | Dismissed by Rule 12504(a)(6)(A) |
| 20-03380 | 09/14/2021 | Claimant(s): Randal Kertzman
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Paul Lansing
Hearing Site: Indianapolis, IN
| | Expungement |
| 21-00601 | 06/29/2021 | Claimant(s): Nicholas Thompson
Claimant Lawyers(s): Nicholas Thompson
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Gerald W. Hepp
Hearing Site: Indianapolis, IN
| | $0 |
| 19-03556 | 05/17/2021 | Claimant(s): Donna Wagner
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Perry, Brokers International Financial Services
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Lynn Hirschfeld Brahin, Robert David Epstein, Natalie R Dickey
Hearing Site: Indianapolis, IN
| | $795,929 |
| 20-02354 | 04/13/2021 | Claimant(s): Anthony Bonanno
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Park Avenue Securities.
Respondent Lawyers(s): Kristin L. Wynne
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | |
| 20-03743 | 04/05/2021 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): H. Beck.
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Jeffry M. Bauer, Mark L Miller, Jonathan B. Gilbert
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206 |
