| 09-00200 | 11/22/2010 | Claimant(s): John Grimes
Claimant Lawyers(s): John W. Grimes
Respondent(s): Roy Neal, 1717 Capital Management Company
Respondent Lawyers(s): Joseph J. Dehner, Natalie T. Furniss
Arbitrator(s): Bert S Cliff, Bill Swinford, Robert Economou
Hearing Site: Cincinnati, OH
|  | $0 |
| 09-05706 | 09/24/2010 | Claimant(s): The Luckett Family Trust
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
| | $0 |
| 07-03128 | 12/17/2008 | Claimant(s): Walter A. Flick & Judith R. Flick JTWROS
Claimant Lawyers(s): David S. Blessing
Respondent(s): Russell Stansell, Kovack Securities Inc.
Respondent Lawyers(s): Brian Kovack, Russell Dean Stansell
Arbitrator(s): Bill Swinford, Alex H. Keller, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $52,515 |
| 07-01821 | 04/16/2008 | Claimant(s): Dawne Ferland
Claimant Lawyers(s): Theresa M. Mohan
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nancy Anderson Tayborn
Arbitrator(s): Bill Swinford, Christy C. Walker, Debora A. Caley
Hearing Site: Cincinnati, OH
| | |
| 06-05197 | 03/05/2008 | Claimant(s): Billy Willoughby, Carol Morford, Clay Faulconer, Edward Graham, Helen Phillips, James Hellard, James Phillips, Jimmie Embry, Luster Palmer, Marcia Hicks, Richard Shelton, Robert McDonnell
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Byron Holley, A.G. Edwards & Sons.
Respondent Lawyers(s): Amy C. Johnson
Arbitrator(s): Bill Swinford, John P. McShane, David T. Maddux
Hearing Site: Louisville, KY
| | $497,071 |
| 06-04128 | 10/26/2007 | Claimant(s): Herbert Kinman
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien
Arbitrator(s): Bill Swinford, Gorman Jones Roberts, Anthony G. Belak
Hearing Site: Louisville, KY
| | $0 |
| 07-01255 | 09/24/2007 | Claimant(s): Beverly Ashton
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley DW Inc., Ralph Drayer
Respondent Lawyers(s): Christopher Gawley
Arbitrator(s): R. Thomas Barksdale, Bill Swinford, Frank E. Barnett
Hearing Site: Nashville, TN
| | $0 |
