12-04170 | 11/29/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Alex Komoroski Respondent(s): Jeffery Thomas Respondent Lawyers(s): Jeffery Dwayne Thomas Arbitrator(s): Alex H. Keller Hearing Site: Charleston, WV
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12-01242 | 06/05/2013 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward A. Walton Respondent(s): Walter Russell Respondent Lawyers(s): David J. Hase Arbitrator(s): Alex H. Keller Hearing Site: Columbus, OH
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11-01653 | 10/17/2012 | Claimant(s): Mary R. Brumfield Living Trust, Steven F. Brumfield Living Trust, Steven M. Brumfield Living Trust Claimant Lawyers(s): Edward H. Glenn Respondent(s): Roger Ruth, MWA Financial Services Inc. Respondent Lawyers(s): Carlos E. Mustelier, Douglas P. Whipple Arbitrator(s): Emily J. Lewis, Alex H. Keller, Mary D. Stevenson Hearing Site: Columbus, OH
| | $600 |
11-02681 | 09/14/2012 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Michael T. Roche Respondent(s): William French III Respondent Lawyers(s): William Henry French III Arbitrator(s): Alex H. Keller Hearing Site: Charleston, WV
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11-04344 | 05/15/2012 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Archie Capinguian Respondent(s): Jonathan Brimley Respondent Lawyers(s): Dennis M. Fitzgerald Arbitrator(s): Alex H. Keller Hearing Site: Columbus, OH
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11-01303 | 10/17/2011 | Claimant(s): John Williams Claimant Lawyers(s): Brian A. Carlis Respondent(s): Deborah Tucker, Kenneth Tucker Respondent Lawyers(s): Stephen Meyer Arbitrator(s): Thomas R. Skulina, Alex H. Keller, Harvey Michael Rosenberg Hearing Site: Charleston, WV
| | Expungement |
10-01465 | 05/02/2011 | Claimant(s): Dolores Keener Claimant Lawyers(s): Stephen P. Meyer Respondent(s): David Arthur, Geneos Wealth Management., Investors Financial Advisors. Respondent Lawyers(s): John O. Easton Arbitrator(s): Donald B. Vaden, Alex H. Keller, John G. Byrd Hearing Site: Charleston, WV
| | $0 |
10-03331 | 02/16/2011 | Claimant(s): John Yousef Claimant Lawyers(s): John Yousef Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Felde Arbitrator(s): Alex H. Keller Hearing Site: Cleveland, OH
| | $0 |
09-05188 | 04/08/2010 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward Walton Respondent(s): Jeffery Westerman Respondent Lawyers(s): Jeffery Luke Westerman Arbitrator(s): Robert P. Fogarty, Alex H. Keller, Dale A. Crawford Hearing Site: Columbus, OH
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08-02129 | 07/20/2009 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Edward Walton Respondent(s): Kevin Leet Respondent Lawyers(s): Brigid O. Gies Arbitrator(s): John C. Schenkenfelder, Amelia F. Adams, Alex H. Keller Hearing Site: Louisville, KY
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