| 15-00579 | 03/01/2017 | Claimant(s): Glen Raque
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s):
Hearing Site: Louisville, KY
|  | Expungement |
| 16-01038 | 12/20/2016 | Claimant(s): Julie Farkas
Claimant Lawyers(s): Julie B. Farkas
Respondent(s): Andrew Moro, Wells Fargo Advisors, Kenneth Weiss, Richard Wilhelm, Sheila Kerr
Respondent Lawyers(s): William W. Allen
Arbitrator(s): Amelia F. Adams
Hearing Site: Louisville, KY
| | |
| 14-02603 | 11/04/2016 | Claimant(s): Harry Hadden
Claimant Lawyers(s): Steven M McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Gerald Cohen, Randall S. Strause, James Douglas Wilbanks
Hearing Site: Louisville, KY
| | |
| 15-00202 | 11/02/2016 | Claimant(s): Elizabeth Johnson
Claimant Lawyers(s): Elizabeth H. Johnson
Respondent(s): Lloyd Painter, Painter Financial
Respondent Lawyers(s): Brian Nally
Arbitrator(s): James Clifton Stone, Allan Weiss, Anthony G. Belak
Hearing Site: Louisville, KY
| | $0 |
| 16-00838 | 08/10/2016 | Claimant(s): Frank Wang
Claimant Lawyers(s): Sabine Stovall
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Deborah Gale Evans
Arbitrator(s): Sharon R. Merriman
Hearing Site: Louisville, KY
| | $0 |
| 14-02953 | 07/18/2016 | Claimant(s): Ann Oldfather, F/B/O Ann B. Oldfather, Oldfather & Morris Profit Sharing Plan
Claimant Lawyers(s): Robert S. Deskins
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jill Bradley, Wachovia Securities, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Allan Weiss, Robert Laurence Astorino
Hearing Site: Louisville, KY
| | $181,757 |
| 16-00296 | 06/23/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Paidemoyo Charasika
Respondent Lawyers(s): Paidemoyo Brian Charasika
Arbitrator(s): Barry Goldman
Hearing Site: Louisville, KY
| | |
| 14-02756 | 03/25/2016 | Claimant(s): Woodcock Foundation
Claimant Lawyers(s): Christopher W. Haden
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Charles H. Maguire, Amelia F. Adams, Fred J. Naffziger
Hearing Site: Louisville, KY
| | Expungement |
| 13-02409 | 03/01/2016 | Claimant(s): Teresa Wiles
Claimant Lawyers(s): Richard B Fosher
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Bill Swinford, Stuart D. Summers, Michael E. Martin
Hearing Site: Louisville, KY
| | $134,530 |
| 14-00986 | 02/23/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Brandon Neal
Respondent Lawyers(s): Michael A. Valenti
Arbitrator(s): Amelia F. Adams, Anthony G. Belak, Martin Augustus Graf
Hearing Site: Louisville, KY
| | |
