| 20-02659 | 11/06/2020 | Claimant(s): Matthew Powell
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Louisville, KY
| | |
| 20-00639 | 09/21/2020 | Claimant(s): Robert Brewer
Claimant Lawyers(s): Kathryn Roe Eldridge
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
| | |
| 20-00224 | 08/27/2020 | Claimant(s): Thomas Dupree
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Jim Geiger
Hearing Site: Louisville, KY
| | |
| 19-00418 | 04/30/2020 | Claimant(s): Barney Golden
Claimant Lawyers(s): J. Key Schoen
Respondent(s): UBS Financial Services Inc., Regina Onkst
Respondent Lawyers(s): Michael T. Leigh
Arbitrator(s): Robert J. Scafuri, Barry Goldman, John R. Michael
Hearing Site: Louisville, KY
|  | Settlement |
| 19-00194 | 03/25/2020 | Claimant(s): Thomas Hirsch
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Allan Weiss, Gregory Hunter Mathews, James A. McIntosh
Hearing Site: Louisville, KY
| | Dismissed by Rule 12206/12504 |
| 19-02570 | 02/26/2020 | Claimant(s): Stokes Baird
Claimant Lawyers(s): William W. Allen
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Alexander M. Marks
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Louisville, KY
| | |
| 19-02086 | 01/17/2020 | Claimant(s): Charles Mercer
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Mark A. Sipper
Hearing Site: Louisville, KY
| | |
| 18-02715 | 08/07/2019 | Claimant(s): Scott Brooks
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Mark A. Sipper
Hearing Site: Louisville, KY
| | |
| 18-01992 | 07/30/2019 | Claimant(s): John Steer
Claimant Lawyers(s): Philip J. Castagno
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
| | |
| 17-00157 | 04/18/2019 | Claimant(s): James Lloyd, Susan Lloyd
Claimant Lawyers(s): Elisabeth S. Gray
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard Frankowski
Arbitrator(s): George G. Kurschner, Steven Michael McCauley, Anthony G. Belak
Hearing Site: Louisville, KY
| | $131,032 |
