| 19-00938 | 10/03/2019 | Claimant(s): Bradley Ford
Claimant Lawyers(s): Jessica M. Lindemann
Respondent(s): USA Financial Securities Corporation
Respondent Lawyers(s): Joel T. Brusk
Arbitrator(s): Robert David Epstein
Hearing Site: Indianapolis, IN
| | |
| 18-03661 | 09/09/2019 | Claimant(s): Bartlomiej Szkutnicki
Claimant Lawyers(s): James A. Klimek
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Leonard Arthur Nelson, Richard A Young, Sharlee Cole Little
Hearing Site: Indianapolis, IN
| | |
| 19-00086 | 08/29/2019 | Claimant(s): Gordon Bryan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick Christensen
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | |
| 18-04330 | 08/16/2019 | Claimant(s): Roy Strong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CFD Investments.
Respondent Lawyers(s): Matthew Bahrenburg
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
| | |
| 18-02420 | 08/12/2019 | Claimant(s): Jill Morris
Claimant Lawyers(s): John L. Davis
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
|  | $125 |
| 18-02531 | 04/05/2019 | Claimant(s): David Garman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Wall Street Access
Respondent Lawyers(s): Alan S. Brodherson, Denis Patrick Kelleher
Arbitrator(s): Larry Evert Carlson
Hearing Site: Indianapolis, IN
| | |
| 18-02776 | 03/28/2019 | Claimant(s): Michael Fish
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): William M. Getzoff
Hearing Site: Indianapolis, IN
| | |
| 18-01741 | 03/12/2019 | Claimant(s): James Molitor
Claimant Lawyers(s): James Molitor
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert J. Scafuri, Sherrill Wm Colvin, James Aaron Morrow
Hearing Site: Indianapolis, IN
| | $0 |
| 17-02748 | 01/22/2019 | Claimant(s): Charles Werckenthien
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Casey M. Stevenson
Arbitrator(s): Charles Orlove
Hearing Site: Indianapolis, IN
| | |
| 17-01734 | 12/11/2018 | Claimant(s): Bruce Hink
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Benjamin Biard
Arbitrator(s): Donald Glen Russell, Raymond P. Buschmann, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Expungement |
