| 20-04184 | 12/21/2023 | Claimant(s): Michael Codispoti
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Robert David Epstein, Mark A. Sipper, John William Diether
Hearing Site: Cincinnati, OH
|  | Expungement |
| 22-02941 | 07/11/2023 | Claimant(s): William Mitchell
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Robert David Epstein
Hearing Site: Cincinnati, OH
| | |
| 22-00279 | 09/15/2022 | Claimant(s): David McGill
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Parkland Securities
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Carl E. Ver Beek, Robert David Epstein, David Joseph Remondini
Hearing Site: Indianapolis, IN
| | |
| 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 |
| 19-03556 | 05/17/2021 | Claimant(s): Donna Wagner
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Perry, Brokers International Financial Services
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Lynn Hirschfeld Brahin, Robert David Epstein, Natalie R Dickey
Hearing Site: Indianapolis, IN
| | $795,929 |
| 20-03017 | 04/23/2021 | Claimant(s): Lisa Howe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Robert David Epstein
Hearing Site: Columbus, OH
| | |
| 19-00938 | 10/03/2019 | Claimant(s): Bradley Ford
Claimant Lawyers(s): Jessica M. Lindemann
Respondent(s): USA Financial Securities Corporation
Respondent Lawyers(s): Joel T. Brusk
Arbitrator(s): Robert David Epstein
Hearing Site: Indianapolis, IN
| | |
| 16-01796 | 09/11/2017 | Claimant(s): Jason Woodruff
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Conni Mcewen, Erin Shaw, J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Robert David Epstein, John Andrew Wagner, William Joseph Caprathe
Hearing Site: Indianapolis, IN
| | |
| 12-01858 | 01/22/2014 | Claimant(s): Carolyn Hamilton, Frank A. Hamilton (Deceased)IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Thomas J. McAllister, Irving A. Chesler, Robert David Epstein
Hearing Site: Indianapolis, IN
| | Expungement |
| 11-04556 | 03/08/2013 | Claimant(s): Lori Strayn, Payton Ashleigh Strayn U/NV/UTMA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Wells Fargo Advisors, Fred Snyder, E*Trade Securities LLC, Robert Strayn
Respondent Lawyers(s): Deirdre Wolff, John Bersin, Robert Kevin Strayn
Arbitrator(s): Paul Lansing, Sherrill Wm Colvin, Robert David Epstein
Hearing Site: Indianapolis, IN
| | $118,217 |
