| 11-04768 | 02/25/2013 | Claimant(s): David Bobo
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Joseph V. Simeri
Hearing Site: Louisville, KY
|  | $103,290 |
| 09-03877 | 02/15/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Neison
Respondent Lawyers(s): David C. Neison
Arbitrator(s): Larry P. Larsen
Hearing Site: Louisville, KY
| | |
| 12-01700 | 01/16/2013 | Claimant(s): Angela Fogle
Claimant Lawyers(s): Angela Fogle
Respondent(s): Elizabeth Hammack, Edward Jones
Respondent Lawyers(s): Joseph D'Elia
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Louisville, KY
| | $0 |
| 11-04101 | 11/08/2012 | Claimant(s): ING Financial Partners., ING Life Insurance and Annuity Company
Claimant Lawyers(s): Steven E Mellen
Respondent(s): Jeanie O'Daniel
Respondent Lawyers(s): Stephen G. Amato
Arbitrator(s): Barbara Black, Coleman Robert Perry, Linda W. Hester
Hearing Site: Louisville, KY
| | |
| 11-03768 | 07/31/2012 | Claimant(s): Jeffrey Jennings
Claimant Lawyers(s): Jeff Jennings
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Marcie Mintz
Arbitrator(s): Bill Swinford, James Clifton Stone, Jeffrey M. Bain
Hearing Site: Louisville, KY
| | |
| 11-01937 | 07/20/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Bradley Barnett
Respondent Lawyers(s): M. Tyler Reynolds
Arbitrator(s): Richard B. Lewis
Hearing Site: Louisville, KY
| | |
| 10-02668 | 06/01/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David Markun
Respondent(s): John Hopkins
Respondent Lawyers(s): John H. Hopkins
Arbitrator(s): Thomas J. Ray
Hearing Site: Louisville, KY
| | |
| 11-00973 | 05/04/2012 | Claimant(s): Chhaganbhai Patel, Jashuben Patel
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Naveen Bhagwani, Shondeep Balchandani
Respondent Lawyers(s): Naveen K. Bhagwani, Shondeep Sajan Balchandani
Arbitrator(s): Bill Swinford, Bernard D. Leachman, William Phillip Emrick
Hearing Site: Louisville, KY
| | $1,027,600 |
| 11-01822 | 03/01/2012 | Claimant(s): Angela Fogle
Claimant Lawyers(s): Angela Fogle
Respondent(s): Elizabeth Hammack, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | $0 |
| 10-04839 | 02/10/2012 | Claimant(s): John Tubbs
Claimant Lawyers(s): John T. Tubbs
Respondent(s): Rowena Ruff
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Lisa Shusterman
Hearing Site: Louisville, KY
| | $0 |
