09-06023 | 12/20/2010 | Claimant(s): Harriet Johnson, Jan Patton, Robert Patton Claimant Lawyers(s): Steven M. McCauley Respondent(s): Joseph Stricklin, Morgan Keegan & Company. Respondent Lawyers(s): Janet P. Jakubowicz Arbitrator(s): Amelia F. Adams, Allan Weiss, Gail Burke Tway Hearing Site: Louisville, KY
| | $0 |
09-03845 | 11/30/2010 | Claimant(s): John Allen Claimant Lawyers(s): Steven M. McCauley Respondent(s): Gregory Martino, Westrock Advisors. Respondent Lawyers(s): Andrew Shapiro, Gregory Marcel Martino Arbitrator(s): Madeleine B. Feldman, Todd Parker Lowe, R. Van Young Hearing Site: Louisville, KY
| | $141,853 |
10-02212 | 11/03/2010 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Lauren R. Fox Respondent(s): Christian Erickson Respondent Lawyers(s): Christian E. Erickson Arbitrator(s): Frederick Michael Switzer Hearing Site: Louisville, KY
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10-02707 | 10/29/2010 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Edward C Nowak Respondent(s): Junius Beaver Respondent Lawyers(s): Junius Verne Beaver Arbitrator(s): Kevin R. McDermott Hearing Site: Louisville, KY
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10-01986 | 10/21/2010 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Ronald Brown Respondent Lawyers(s): Ronald Lucas Brown Arbitrator(s): Irving A. Chesler Hearing Site: Louisville, KY
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09-04884 | 10/14/2010 | Claimant(s): Chester Zoeller Claimant Lawyers(s): James P. McCrocklin Respondent(s): Richard Mitchell, Sterne, Agee & Leach. Respondent Lawyers(s): Stephen L. Poer Arbitrator(s): R. Van Young, Robert M. Bath, Stephen Ronald Crissey Hearing Site: Louisville, KY
| | $0 |
09-05706 | 09/24/2010 | Claimant(s): The Luckett Family Trust Claimant Lawyers(s): Steven M. McCauley Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): Elizabeth M. Hill Arbitrator(s): Bill Swinford Hearing Site: Louisville, KY
| | $0 |
09-04748 | 08/27/2010 | Claimant(s): James Riley Claimant Lawyers(s): James P. McCrocklin Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): Russell S. Sayre Arbitrator(s): Leah A. Murray Hearing Site: Louisville, KY
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09-03951 | 08/27/2010 | Claimant(s): David Roberts Claimant Lawyers(s): John Sale Gordon Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Erin Linehan Arbitrator(s): James Clifton Stone, Jan M. West, Enrico A. Mazzoli Hearing Site: Louisville, KY
| | $22,999 |
09-00363 | 08/20/2010 | Claimant(s): C. Nelson, Jonathan Daniels, Linda Nelson Claimant Lawyers(s): William W. Allen Respondent(s): Jeff Garstka, Myron Schneidt Respondent Lawyers(s): Charles C. Mihalek, M. David Schneidt Arbitrator(s): Allan Weiss, Richard B. Lewis, Jarrett Andrew Jacobs Hearing Site: Louisville, KY
| | $1,152,300 |