| 11-03319 | 10/11/2012 | Claimant(s): Lyle Amrhein, Ray and Evelyn Amrhein Joint Acct.
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jerry Smith, Regional Investment Services.
Respondent Lawyers(s): Jerry Allen Smith, Jerry Fedasch
Arbitrator(s): Tim V. Young, Sherrill Wm Colvin, Stephen L. Flint
Hearing Site: Indianapolis, IN
|  | $177,325 |
| 11-01040 | 07/05/2012 | Claimant(s): James N. Vangilder Revocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Gerald Cohen, Julius Z. Frager, Marilyn T. Selby
Hearing Site: St. Louis, MO
| | $0 |
| 09-06411 | 05/25/2012 | Claimant(s): Jerry Tillman, Mary Hazlewood, Michael Hazlewood, Beverly Baker and Bernice Heaton, Norman E. and Jo Ann Hughes, Virginia A. Tillman Rev Living Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Patrick J. Halter, Jonathan Burke Rada, Jonathan B. Gilbert
Hearing Site: Memphis, TN
| | Expungement |
| 10-00853 | 02/23/2012 | Claimant(s): Robert Davis, Thresa Stroud, BROCO II, The Janene Davis Living Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Beth A. Black
Arbitrator(s): Gary P. Price, Kathleen A. DeLaney, Jason Alexander Beer
Hearing Site: Indianapolis, IN
| | Expungement |
| 09-05036 | 08/03/2011 | Claimant(s): Jane McVey
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Alicia Rasche, Clyde Benninghoff, Lawrence Rasche
Respondent Lawyers(s): Arthur I. Jacobs, Reed S. Schmitt
Arbitrator(s): Todd L. Barlow, Joseph V. Simeri, Christine M. Arnold
Hearing Site: Indianapolis, IN
| | Stipulated Award |
| 10-01198 | 05/03/2011 | Claimant(s): Steven Wdowka, Steven E. Wdowka, IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. DePrez
Arbitrator(s): George W. Harding, Gary P. Price, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $2,512,200 |
| 09-05996 | 02/17/2011 | Claimant(s): Alvin L. Bridges Irrevocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Thomas Swigert
Arbitrator(s): Tim V. Young, Terresa L. Beaman, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $0 |
| 09-04669 | 01/21/2011 | Claimant(s): Thomas Lewellen, Vida Hill, Thomas & Mary C/F Matthew Lewellen UGMA, Thomas L. Lewellen Do PA DTD 10/1/1980
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Donald F Winningham
Arbitrator(s): Benjamin F. Richards, Veera V. Konka, Casey John Whalley
Hearing Site: Little Rock, AR
| | $100,000 |
| 09-05681 | 12/23/2010 | Claimant(s): Beverly Coryn, Beverly Coryn IRAs
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Ogilvie Security Advisors Corporation
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): Randall S. Strause, Joseph V. Simeri, James A. Morrow
Hearing Site: Indianapolis, IN
| | $63,534 |
| 09-03906 | 12/06/2010 | Claimant(s): Patsy Freeman, Patsy Freeman Investment Management Acco
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Stephen C. Esposito, William M. Lacy, Leonard J. Sullivan
Hearing Site: Nashville, TN
| | $0 |
