| 22-01745 | 02/02/2023 | Claimant(s): John Smith
Claimant Lawyers(s): John Lee Smith
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Paul Lansing, Gregory Hunter Mathews, James Douglas Wilbanks
Hearing Site: Louisville, KY
| | |
| 22-00505 | 12/16/2022 | Claimant(s): Bradley Ford
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors., USA Financial Securities Corporation
Respondent Lawyers(s): Andrea McGrew, Susan D. Duff
Arbitrator(s): Amelia F. Adams
Hearing Site: Louisville, KY
| | |
| 22-00543 | 10/14/2022 | Claimant(s): Joseph Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Jim Geiger
Hearing Site: Louisville, KY
| | |
| 21-02073 | 08/18/2022 | Claimant(s): Dennis Pickett
Claimant Lawyers(s): Dennis W. Pickett
Respondent(s): TD Ameritrade., Citadel Securities LLC
Respondent Lawyers(s): Kevin H. Lewis, Mark L. Parmelee
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Louisville, KY
|  | $0 |
| 19-01006 | 07/15/2022 | Claimant(s): Frank K. Lee, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Stuart D. Summers, Steven Michael McCauley, Kim L. Kirn
Hearing Site: Louisville, KY
| | $609,050 |
| 21-02329 | 04/26/2022 | Claimant(s): Benjamin Hoehler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Douglas M. Branson
Hearing Site: Louisville, KY
| | |
| 18-04310 | 04/21/2022 | Claimant(s): Judith Cambron
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Christopher Hibbard, Raymond, James & Associates., Patrick Strehl
Respondent Lawyers(s): Christopher Lee Hibbard, Peter S. Fruin
Arbitrator(s): John R. Michael, Linda W. Hester, Robert David Epstein
Hearing Site: Louisville, KY
| | Expungement |
| 21-01994 | 03/24/2022 | Claimant(s): Avery Wolinsky, Benjamin Wolinsky, Carol Avery, Robert Wolinsky, Nexial Investment Club
Claimant Lawyers(s): Avery Beau Wolinsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Michael L. Lyons, James A. McIntosh, Mark Alan Bond
Hearing Site: Louisville, KY
| | Dismissed by Rule 12206 |
| 19-03075 | 02/04/2022 | Claimant(s): Dustin Luckett
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): J.P. Morgan Securities, Todd Fannin
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): John R. Michael, David F. Barrett, Linda W. Hester
Hearing Site: Louisville, KY
| | |
| 20-00839 | 12/28/2021 | Claimant(s): Bruce Rogers, Kent Rogers
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Dinosaur Financial Group, L.L.C
Respondent Lawyers(s): M. William Munno
Arbitrator(s): Amelia F. Adams, Richard W. Dissen, Allen M. Kerpan
Hearing Site: Louisville, KY
| | $0 |
