| 15-02888 | 10/04/2016 | Claimant(s): Shawn Kost
Claimant Lawyers(s): Michele Henry
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary J. Lieberman
Arbitrator(s): Michael S. Jordan, Julia Church Kozicki, Keith Lorenzo Griffin
Hearing Site: Indianapolis, IN
| | |
| 16-00702 | 09/26/2016 | Claimant(s): SII Investments.
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Jason Edwards
Respondent Lawyers(s): Jason Francis Edwards
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | |
| 15-01499 | 08/31/2016 | Claimant(s): Deborah Howland, Leon Howland
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Lynn Hirschfeld Brahin, Raymond P. Buschmann, William Gibson Heller
Hearing Site: Indianapolis, IN
|  | $0 |
| 14-03379 | 06/01/2016 | Claimant(s): Larry Kattman
Claimant Lawyers(s): Louise J. Kattman
Respondent(s): Wells Fargo Advisors, Michael Lundin
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Mark L Miller, Sherrill Wm Colvin, Todd Machowiak
Hearing Site: Indianapolis, IN
| | Expungement |
| 15-01416 | 05/17/2016 | Claimant(s): Greg Wampler
Claimant Lawyers(s): Jennifer L Tarr
Respondent(s): John Lowry, Joseph Ilg, Kim Monchik, Robert Murray, Spartan Capital Securities
Respondent Lawyers(s): Harry Delagrammatikas
Arbitrator(s): Rody P. Biggert
Hearing Site: Indianapolis, IN
| | $0 |
| 15-01802 | 02/01/2016 | Claimant(s): Douglas Purdy
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Securities America.
Respondent Lawyers(s): Natalie Blanke
Arbitrator(s): Peter Ordower, Michael Charles Peek, John Andrew Wagner
Hearing Site: Indianapolis, IN
| | |
| 15-01297 | 12/04/2015 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): James Madden
Respondent Lawyers(s): Ann Marie Waldron
Arbitrator(s): Charles Orlove
Hearing Site: Indianapolis, IN
| | |
| 14-03165 | 10/23/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H Li
Respondent(s): Karen Kane
Respondent Lawyers(s): Karen Suzanne Kane
Arbitrator(s): Randall S. Strause
Hearing Site: Indianapolis, IN
| | |
| 14-03642 | 06/04/2015 | Claimant(s): Larry Bender
Claimant Lawyers(s): Larry G. Bender
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Terry F. Peppard
Hearing Site: Indianapolis, IN
| | $0 |
| 14-01083 | 05/21/2015 | Claimant(s): Ray Long, Sharon Long
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Raymond James Financial Services., Edward Jones
Respondent Lawyers(s): Justin Joseph D'Elia, Kelli Hartsook
Arbitrator(s): Stuart D. Summers, Tim V. Young, William Peter Kealey
Hearing Site: Indianapolis, IN
| | Expungement |
