14-02603 | 11/04/2016 | Claimant(s): Harry Hadden Claimant Lawyers(s): Steven M McCauley Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Gerald Cohen, Randall S. Strause, James Douglas Wilbanks Hearing Site: Louisville, KY
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15-03019 | 05/09/2016 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Travis McGregor Respondent(s): David Glick Respondent Lawyers(s): David M. Glick Arbitrator(s): Randall S. Strause Hearing Site: Cincinnati, OH
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12-03096 | 02/19/2016 | Claimant(s): Michael Brown Claimant Lawyers(s): Michael Owen Brown Respondent(s): Chhaganbhai Patel, Jashuben Patel Respondent Lawyers(s): Charles C. Mihalek Arbitrator(s): Randall S. Strause Hearing Site: Louisville, KY
| | Expungement |
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
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14-00879 | 02/18/2015 | Claimant(s): Thomas Kelly Claimant Lawyers(s): Timothy Feil Respondent(s): Charles Grimes Respondent Lawyers(s): David E. Grimes Arbitrator(s): Susan K. Hollenbach, Randall S. Strause, Gregory P. Szuter Hearing Site: Cincinnati, OH
| | Expungement |
14-02216 | 01/12/2015 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Michael D. Lee Respondent(s): John Clancy Respondent Lawyers(s): John Francis Clancy Arbitrator(s): Randall S. Strause Hearing Site: Louisville, KY
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13-01538 | 09/19/2014 | Claimant(s): The Estate of Mary Elise Anderson Claimant Lawyers(s): Alan R. Perry Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Bill Swinford, Randall S. Strause, Billy G. Hopkins Hearing Site: Louisville, KY
| | $0 |
13-01536 | 08/28/2014 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward Walton Respondent(s): Wilson Rosebraugh Respondent Lawyers(s): Deborah DeLong Arbitrator(s): Scott H Litwin, Carol M. Stoner, Randall S. Strause Hearing Site: Cincinnati, OH
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12-01843 | 09/25/2013 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward Walton Respondent(s): Thomas Cooper Respondent Lawyers(s): Thomas Stephen Cooper Arbitrator(s): Randall S. Strause Hearing Site: Nashville, TN
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09-05681 | 12/23/2010 | Claimant(s): Beverly Coryn, Beverly Coryn IRAs Claimant Lawyers(s): Mark E. Maddox Respondent(s): Ogilvie Security Advisors Corporation Respondent Lawyers(s): David A. Baugh Arbitrator(s): Randall S. Strause, Joseph V. Simeri, James A. Morrow Hearing Site: Indianapolis, IN
| | $63,534 |