| 13-01672 | 07/18/2014 | Claimant(s): John Meadows, John Anthony Meadows IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey Beckham
Arbitrator(s): Paul Lansing, Stephen L. Flint, William Gibson Heller
Hearing Site: Indianapolis, IN
|  | $30,000 |
| 12-01990 | 06/03/2014 | Claimant(s): Barbara Pennington, Michael Pennington, Barbara Pennington IRA, Michael Pennington IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): David Ellis, Ruth-Ellen Post, Frederick J. Myers
Hearing Site: Manchester, NH
| | Expungement |
| 13-02360 | 05/13/2014 | Claimant(s): Carroll Martini, Mildred Martini, Carroll Martini IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Proequities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Douglas J. Nesbit, Kevin D. Hofman, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $0 |
| 13-00416 | 03/05/2014 | Claimant(s): R. Block
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Paul Lansing
Hearing Site: Indianapolis, IN
| | $0 |
| 11-03421 | 01/29/2014 | Claimant(s): Philippe Burney, John Faitel, Yvette Faitel, Yvette and John Faitel
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Marcious Dickerson, Centaurus Financial.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Martin Brosnan, Anthony W. Candela, Arthur James Rubiner
Hearing Site: Detroit, MI
| | Expungement |
| 13-00290 | 08/21/2013 | Claimant(s): Celine Derunes, Franck Derunes
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): Jeffrey L. Gaffney
Hearing Site: San Diego, CA
| | $18,488 |
| 12-01712 | 07/12/2013 | Claimant(s): Robert Epperson IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David H. S. Commins
Arbitrator(s): Lester Friedman, Daniel M. Yamshon, Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | 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 |
| 10-04837 | 02/22/2013 | Claimant(s): Karen Wykrent, Michael Wykrent
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): William E. Hartsfield, Karen J. Zvonecek, Edward J. Lynch
Hearing Site: Dallas, TX
| | Expungement |
| 11-02992 | 12/06/2012 | Claimant(s): Gary Glatz on behalf of his IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Butenuth, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Theodore W. Wrobleski, Stephen C. Esposito, Irving A. Chesler
Hearing Site: Chicago, IL
| | Expungement |
