| 18-00872 | 11/20/2018 | Claimant(s): Michael Engelstad
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Indianapolis, IN
| | |
| 17-03354 | 10/24/2018 | Claimant(s): James Schrader
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | |
| 17-01293 | 08/27/2018 | Claimant(s): LeAnn Blackwell
Claimant Lawyers(s): Raymond Daniel Faust
Respondent(s): John Whitaker, Stifel, Nicolaus & Co.., City Securities Corporation
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Thomas F. Mahoney, Philip J. Glick, Tim V. Young
Hearing Site: Indianapolis, IN
|  | $0 |
| 17-02465 | 08/13/2018 | Claimant(s): Gregory VanWinkle
Claimant Lawyers(s): Alan Wolper
Respondent(s): IFS Securities.
Respondent Lawyers(s): Alexy McKenzie
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
| | |
| 17-01767 | 08/10/2018 | Claimant(s): Denise Fry, Donna Sullivan, Denise M. Fry Living Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Tamara Steele
Respondent Lawyers(s): Robert L. Hartley
Arbitrator(s): Lynn Hirschfeld Brahin, Julia Church Kozicki, Jill Elise Vestal
Hearing Site: Indianapolis, IN
| | $226,908 |
| 17-03011 | 07/23/2018 | Claimant(s): Roy Strong
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Indianapolis, IN
| | |
| 17-03356 | 07/09/2018 | Claimant(s): Randall Lehman
Claimant Lawyers(s): Owen Harnett
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Indianapolis, IN
| | |
| 16-03238 | 01/06/2018 | Claimant(s): Est. of Franklin Douglas by its P.R.
Claimant Lawyers(s): David L. Jones
Respondent(s): Fifth Third Securities., Jeremy Schipp
Respondent Lawyers(s): D. Justin Gingerich
Arbitrator(s): Larry Evert Carlson, Paul Lansing, Raymond P. Buschmann
Hearing Site: Indianapolis, IN
| | $0 |
| 17-00926 | 12/22/2017 | Claimant(s): Jana Forster
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): LPL Financial LLC, Kodi Hermann
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): William M. Getzoff
Hearing Site: Indianapolis, IN
| | $10,889 |
| 16-01796 | 09/11/2017 | Claimant(s): Jason Woodruff
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Conni Mcewen, Erin Shaw, J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Robert David Epstein, John Andrew Wagner, William Joseph Caprathe
Hearing Site: Indianapolis, IN
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