| 10-02497 | 02/09/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Andrew Park
Respondent(s): James Onkst, Regina Onkst
Respondent Lawyers(s): Stuart D. Meissner
Arbitrator(s): Peter Ordower, John R. Michael, Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | |
| 08-03514 | 01/13/2012 | Claimant(s): Thomas Gorter
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Sonia E. O'Donnell
Arbitrator(s): David W. Stanton, Billy G. Hopkins, John Keith Benson
Hearing Site: Louisville, KY
| | |
| 10-02943 | 12/05/2011 | Claimant(s): Grayce Stewart
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Morgan Keegan & Company., William Shamburger
Respondent Lawyers(s): Christie A. Moore
Arbitrator(s): Jeffrey M. Bain, Cheryl Renee Cravens, Michael E. Martin
Hearing Site: Louisville, KY
|  | $98,000 |
| 11-00367 | 11/16/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Osborn
Respondent Lawyers(s): Thomas Preston Osborn
Arbitrator(s): Phillip Barry Wise, Allen D. Schwartz, Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | |
| 09-03847 | 11/08/2011 | Claimant(s): Mark Lamkin
Claimant Lawyers(s): Kenneth A. Bohnert
Respondent(s): J.J.B. Hilliard, W.L. Lyons, PNC Brokerage Corp., PNC Investments LLC
Respondent Lawyers(s): J. Curtis McCubbin, James J. Rabenstine, Thomas J. Momjian
Arbitrator(s): Bill Swinford, Anthony G. Belak, Jarrett Andrew Jacobs
Hearing Site: Louisville, KY
| | |
| 11-01854 | 10/11/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): David Neison
Respondent Lawyers(s): David C. Neison
Arbitrator(s): Tim V. Young
Hearing Site: Louisville, KY
| | |
| 10-02159 | 06/16/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): John Ohara
Respondent Lawyers(s): John Jerome Ohara
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Louisville, KY
| | |
| 10-03757 | 06/06/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): John Hopkins
Respondent Lawyers(s): John Hagler Hopkins
Arbitrator(s): Donald W. Cohen
Hearing Site: Louisville, KY
| | |
| 10-01253 | 03/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Brian Dabney
Respondent Lawyers(s): Brian W. Dabney
Arbitrator(s): R. Phillip Reed
Hearing Site: Louisville, KY
| | |
| 09-05884 | 02/18/2011 | Claimant(s): Woodrow & Joyce Vermillion
Claimant Lawyers(s): Randall S. Strause
Respondent(s): Dean Donohue, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Allan Weiss
Hearing Site: Louisville, KY
| | Stipulated Award and Expungement |
