| 09-03246 | 07/20/2010 | Claimant(s): NRP Advisors. Inc., NRP Financial., National Retirement Partners.
Claimant Lawyers(s): John C. Holmes
Respondent(s): Jeffrey Bafs, Wade Walker, Walker Bafs Retirement Group.
Respondent Lawyers(s): Scott C. Matasar
Arbitrator(s): Sharon R. Merriman, Lawrence W. Arness, John W. Guy
Hearing Site: Indianapolis, IN
| | |
| 08-01242 | 04/27/2009 | Claimant(s): Gerald Sklare
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Morgan Keegan & Company., Robert Elliott
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): John P. McShane, Lawrence W. Arness, Ruth A. Blum
Hearing Site: Louisville, KY
|  | $115,116 |
| 06-04226 | 11/20/2007 | Claimant(s): Richard Baker, Richard Baker IRA
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Daniel Bookout
Respondent Lawyers(s): Daniel S. Bookout
Arbitrator(s): Todd L. Barlow, Lawrence W. Arness, F. Wesley Bowers
Hearing Site: Indianapolis, IN
| | $696,360 |
| 06-04227 | 11/20/2007 | Claimant(s): Michael Gillespie, Michael Gillespie IRA
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Daniel Bookout
Respondent Lawyers(s): Daniel S. Bookout
Arbitrator(s): Lawrence W. Arness, Sherrill Wm Colvin, Richard J. LeDuc
Hearing Site: Indianapolis, IN
| | $737,630 |
| 06-02189 | 11/14/2007 | Claimant(s): John Rauch
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. Deprez
Arbitrator(s): Lawrence W. Arness, David William Russell, Tim D. Bachus
Hearing Site: Indianapolis, IN
| | $100,300 |
| 06-04228 | 10/29/2007 | Claimant(s): Patricia Cavaness, Patricia Cavaness IRA
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Daniel Bookout
Respondent Lawyers(s): Daniel S. Bookout
Arbitrator(s): Lawrence W. Arness, Tim V. Young, Daniel P. Urban
Hearing Site: Indianapolis, IN
| | $894,320 |
| 07-01246 | 09/13/2007 | Claimant(s): Robert L. Hill and Mary Hill
Claimant Lawyers(s): Christopher D. Hill
Respondent(s): Jeffrey Brauley, UBS Financial Services Inc., Richard Wilhelm
Respondent Lawyers(s): Margarita L. Marsico
Arbitrator(s): Lawrence W. Arness
Hearing Site: Louisville, KY
| | $425 |
| 05-06260 | 08/02/2007 | Claimant(s): Lorraine Caveness
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Daniel Bookout
Respondent Lawyers(s): Daniel Scott Bookout
Arbitrator(s): Lawrence W. Arness, Tim V. Young, David William Russell
Hearing Site: Indianapolis, IN
| | $298,659 |
