| 24-00972 | 11/26/2024 | Claimant(s): Fred Huecker, Susan Huecker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Lawrence Nagel, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, John O. Lukanski
Arbitrator(s): George G. Kurschner
Hearing Site: Louisville, KY
|  | $26,156 |
| 22-00320 | 11/22/2024 | Claimant(s): Todd Mercer
Claimant Lawyers(s): Michael Liftik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart Roberts
Arbitrator(s): F. Bradford Johnson
Hearing Site: Louisville, KY
| | |
| 23-03198 | 04/24/2024 | Claimant(s): Dean Donohue
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Douglas M. Branson, J.G. Long, Shawn Ridgell
Hearing Site: Louisville, KY
| | |
| 21-01762 | 04/10/2024 | Claimant(s): Melvin Menke
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Richard Coleman, William Brown, Richard James & Associates.
Respondent Lawyers(s): Frank Barravechia, Richard James Coleman, William Robert Brown
Arbitrator(s): Julius Z. Frager
Hearing Site: Louisville, KY
| | Dismissed by Rule 12511&12212© |
| 23-00802 | 03/15/2024 | Claimant(s): Mark Lamkin
Claimant Lawyers(s): Nathan Lamb
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni
Arbitrator(s): George G. Kurschner
Hearing Site: Louisville, KY
| | |
| 23-00905 | 09/29/2023 | Claimant(s): Jeffrey Schultz
Claimant Lawyers(s): Joel Everest
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
| | |
| 21-02359 | 07/07/2023 | Claimant(s): Donna Dubroja Trust UA 11/19/09
Claimant Lawyers(s): Phyllis Sower
Respondent(s): Christopher Wiedmar, Gregory Russell, Mitchell Barnes, Northwestern Mutual Investment Services
Respondent Lawyers(s): Joel Wertman
Arbitrator(s): Frederick Ramos, Raymond M. Kirtley, Jerry Gale McGrew
Hearing Site: Louisville, KY
| | Expungement |
| 22-01569 | 06/08/2023 | Claimant(s): Mamadi Kourouma
Claimant Lawyers(s): Mamadi Kourouma
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): John R. Michael, Frederick Ramos, Robert S Hendricks
Hearing Site: Louisville, KY
| | $0 |
| 20-03955 | 05/17/2023 | Claimant(s): Isabelita Wijangco, Isabelita Wijangco IRA, Isabelita Wijangco Revocable Trust
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
| | Expungement |
| 21-00487 | 03/31/2023 | Claimant(s): Christopher Watkins, Douglas Obradovich
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Barry Goldman, Jeffrey M. Bain, Joseph Patrick Cottingham
Hearing Site: Louisville, KY
| | |
