| 20-03078 | 10/13/2021 | Claimant(s): James Alexander
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Joseph Depasquale, American Capital Partners
Respondent Lawyers(s): Michael H. Ference
Arbitrator(s): Bill Swinford, Frederick Ramos, Janet Marie Graham
Hearing Site: Louisville, KY
|  | Expungement |
| 20-00639 | 09/21/2020 | Claimant(s): Robert Brewer
Claimant Lawyers(s): Kathryn Roe Eldridge
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
| | |
| 14-00467 | 07/20/2016 | Claimant(s): Bruce Botts, Lynne Botts
Claimant Lawyers(s): Bruce Botts, Lynne Botts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Bill Swinford, Jeffrey M. Bain, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | Expungement |
| 13-02409 | 03/01/2016 | Claimant(s): Teresa Wiles
Claimant Lawyers(s): Richard B Fosher
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Bill Swinford, Stuart D. Summers, Michael E. Martin
Hearing Site: Louisville, KY
| | $134,530 |
| 14-02703 | 08/04/2015 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Canela Greenwood
Respondent Lawyers(s): Canela N. Greenwood
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
| | |
| 14-00180 | 04/21/2015 | Claimant(s): Paul Holland
Claimant Lawyers(s): Paul A. Holland
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | $0 |
| 13-01538 | 09/19/2014 | Claimant(s): The Estate of Mary Elise Anderson
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Bill Swinford, Randall S. Strause, Billy G. Hopkins
Hearing Site: Louisville, KY
| | $0 |
| 14-00105 | 09/15/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Dennis Dixon
Respondent Lawyers(s): Dennis Crowder Dixon
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
| | |
| 12-04088 | 08/06/2014 | Claimant(s): Morgan Stanley Smith Barney FA Notes, Morgan Stanley Smith Barney LLC
Claimant Lawyers(s): Samuel P Mauch
Respondent(s): Gary Barr
Respondent Lawyers(s): Michael A. Valenti
Arbitrator(s): Bill Swinford, Martin Augustus Graf, Edwin Joseph Rehrman
Hearing Site: Louisville, KY
| | |
| 12-04150 | 05/20/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Myron Barker
Respondent Lawyers(s): Pamela K. Ginsburg
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | |
