| 13-00753 | 01/24/2014 | Claimant(s): Frank Cheli
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Bill Swinford
Hearing Site: Indianapolis, IN
|  | Expungement |
| 12-02052 | 10/25/2013 | Claimant(s): Anne R. Jones
Claimant Lawyers(s): David S Blessing
Respondent(s): Grover Cook, Oppenheimer & Co..
Respondent Lawyers(s): Grover Keith Cook, Leo Kogan
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | $126,510 |
| 12-01220 | 11/30/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brian L. Church
Respondent(s): Robert McMillan
Respondent Lawyers(s): Robert L. McMillan
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | |
| 11-01103 | 10/22/2012 | Claimant(s): Thomas Vogel, Thomas Vogel IRA
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Bill Swinford, James A. Melfi, Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $0 |
| 11-02535 | 08/27/2012 | Claimant(s): George W Hussey
Claimant Lawyers(s): David Young Parker
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Bill Swinford, Fred M. Ridolphi, Neil Harvey Smith
Hearing Site: Nashville, TN
| | $0 |
| 11-03768 | 07/31/2012 | Claimant(s): Jeffrey Jennings
Claimant Lawyers(s): Jeff Jennings
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Marcie Mintz
Arbitrator(s): Bill Swinford, James Clifton Stone, Jeffrey M. Bain
Hearing Site: Louisville, KY
| | |
| 11-03721 | 07/31/2012 | Claimant(s): Corery Price
Claimant Lawyers(s): Corery L. Price
Respondent(s): ING Direct Investing.
Respondent Lawyers(s): C. Dean Little
Arbitrator(s): Bill Swinford, Hugh J. Moore, Mary Neil Price
Hearing Site: Nashville, TN
| | $0 |
| 11-00973 | 05/04/2012 | Claimant(s): Chhaganbhai Patel, Jashuben Patel
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Naveen Bhagwani, Shondeep Balchandani
Respondent Lawyers(s): Naveen K. Bhagwani, Shondeep Sajan Balchandani
Arbitrator(s): Bill Swinford, Bernard D. Leachman, William Phillip Emrick
Hearing Site: Louisville, KY
| | $1,027,600 |
| 11-02959 | 01/25/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Roache
Respondent Lawyers(s): Jeffrey L. Roache
Arbitrator(s): Bill Swinford
Hearing Site: Indianapolis, IN
| | |
| 09-03847 | 11/08/2011 | Claimant(s): Mark Lamkin
Claimant Lawyers(s): Kenneth A. Bohnert
Respondent(s): J.J.B. Hilliard, W.L. Lyons, PNC Brokerage Corp., PNC Investments LLC
Respondent Lawyers(s): J. Curtis McCubbin, James J. Rabenstine, Thomas J. Momjian
Arbitrator(s): Bill Swinford, Anthony G. Belak, Jarrett Andrew Jacobs
Hearing Site: Louisville, KY
| | |
