| 08-04884 | 05/12/2010 | Claimant(s): Anne Young, Robert Young
Claimant Lawyers(s): Charles C. Mihalek
Respondent(s): Morgan Keegan & Company., Robert Brewer
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Richard B. Lewis, Billy G. Hopkins, James Douglas Wilbanks
Hearing Site: Louisville, KY
|  | $0 |
| 09-02537 | 05/11/2010 | Claimant(s): Phillip Wells
Claimant Lawyers(s): Phillip A. Wells
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John O. Murphy
Arbitrator(s): Stuart D. Summers
Hearing Site: Louisville, KY
| | $1,956 |
| 08-04863 | 05/07/2010 | Claimant(s): Gerald Adkins, Gerald Adkins Irrevocable Trust
Claimant Lawyers(s): Kenneth A. Bohnert
Respondent(s): Morgan Keegan & Company., Robert Elliott
Respondent Lawyers(s): Patrice R. Walker
Arbitrator(s): Sharon R. Merriman, Robert Laurence Astorino, Stephen Ronald Crissey
Hearing Site: Louisville, KY
| | $0 |
| 09-03944 | 03/22/2010 | Claimant(s): Jeffrey Kraemer, Linda Kraemer
Claimant Lawyers(s): Jeffrey Kraemer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John O. Murphy
Arbitrator(s): Tim V. Young
Hearing Site: Louisville, KY
| | $59,251 |
| 08-01764 | 02/05/2010 | Claimant(s): Kenneth A. Schwieterman
Claimant Lawyers(s): Rebecca C. Davis
Respondent(s): Charles Schwab & Co.., Thompson Investment Advisors.
Respondent Lawyers(s): Matthew F. Coogle, Philip A. McLeod
Arbitrator(s): Frederick W. Snyder, R. Van Young, Billy G. Hopkins
Hearing Site: Louisville, KY
| | $0 |
| 08-04942 | 08/10/2009 | Claimant(s): Michael Leonard
Claimant Lawyers(s): Michael W. Leonard
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): James P. McCrocklin
Hearing Site: Louisville, KY
| | $0 |
| 08-02129 | 07/20/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Kevin Leet
Respondent Lawyers(s): Brigid O. Gies
Arbitrator(s): John C. Schenkenfelder, Amelia F. Adams, Alex H. Keller
Hearing Site: Louisville, KY
| | |
| 08-02721 | 06/23/2009 | Claimant(s): Bobby Hurt
Claimant Lawyers(s): Danny J. Basil
Respondent(s): Frank Black, James Davenport
Respondent Lawyers(s): Danny J. Basil, Frank H. Black
Arbitrator(s): James P. McCrocklin
Hearing Site: Louisville, KY
| | $0 |
| 08-00463 | 04/27/2009 | Claimant(s): Stifel, Nicolaus & Company.
Claimant Lawyers(s): Christie A. Moore
Respondent(s): Thomas Polston
Respondent Lawyers(s): Bruce D. Atherton
Arbitrator(s): Patrick J. Burley, David T. Maddux, Anthony Ray Harris
Hearing Site: Louisville, KY
| | |
| 08-01242 | 04/27/2009 | Claimant(s): Gerald Sklare
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Morgan Keegan & Company., Robert Elliott
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): John P. McShane, Lawrence W. Arness, Ruth A. Blum
Hearing Site: Louisville, KY
| | $115,116 |
