| 20-02178 | 03/20/2021 | Claimant(s): Todd Lester
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Gregory G. Gocek
Hearing Site: Indianapolis, IN
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| 20-02828 | 02/18/2021 | Claimant(s): Nicolas Meyer
Claimant Lawyers(s): James P. Galvin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
| | |
| 20-01448 | 01/19/2021 | Claimant(s): James Holt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
| | |
| 20-02097 | 12/24/2020 | Claimant(s): Thomas Perry
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Philip J. Glick
Hearing Site: Indianapolis, IN
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| 20-01352 | 10/28/2020 | Claimant(s): Roy Strong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): James F. Koehler
Arbitrator(s): Paul Lansing, Gregory G. Gocek, Keith Lorenzo Griffin
Hearing Site: Indianapolis, IN
| | |
| 18-03204 | 10/22/2020 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Jackson Stewart, Mark Obrzut, Nathan Shields, Raymond, James & Associates.
Respondent Lawyers(s): Jeff Csercsevits
Arbitrator(s): Susan L. Walker, Eugene G. Ziobron, Laurel Robin Klapper Gilchrist
Hearing Site: Indianapolis, IN
| | |
| 19-02721 | 09/22/2020 | Claimant(s): Darlene Aguirre, Darlene Aguirre IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jason Williams
Respondent Lawyers(s): Dochtor Kennedy
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
|  | $73,000 |
| 20-00590 | 09/04/2020 | Claimant(s): Louis Hill, Marsha Hill
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Perry, Brokers International Financial Services
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Jeffry M. Bauer, Lynn Hirschfeld Brahin, Natalie R Dickey
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206/12504 |
| 18-03600 | 08/14/2020 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Michael J. Meeusen, Raymond M. Kirtley, Jill Elise Vestal
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206/12504 |
| 18-01955 | 01/15/2020 | Claimant(s): David Vorbeck, Stephen Dunnuck, Stephen Wien
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Kim M. Ruckdaschel-Haley
Arbitrator(s): Thomas F. Mahoney, Donald Glen Russell, Timothy Crook
Hearing Site: Indianapolis, IN
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