| 20-03955 | 05/17/2023 | Claimant(s): Isabelita Wijangco, Isabelita Wijangco IRA, Isabelita Wijangco Revocable Trust
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
|  | Expungement |
| 21-00487 | 03/31/2023 | Claimant(s): Christopher Watkins, Douglas Obradovich
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Barry Goldman, Jeffrey M. Bain, Joseph Patrick Cottingham
Hearing Site: Louisville, KY
| | |
| 19-03075 | 02/04/2022 | Claimant(s): Dustin Luckett
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): J.P. Morgan Securities, Todd Fannin
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): John R. Michael, David F. Barrett, Linda W. Hester
Hearing Site: Louisville, KY
| | |
| 17-02855 | 05/30/2019 | Claimant(s): Donald L. and Beverly C. Hamill
Claimant Lawyers(s): Donald Hamill
Respondent(s): David Harris, Doris Burr, Gregory Shea, Harry Peters, Joseph Hooper, Justin Burr, Kevin Cline, Robert Burr, Russell Newton, Stephen Larkin, Blue Ridge Group., Source Capital Group.
Respondent Lawyers(s): Company President, David Webster Harris, David Harris, Doris R. Burr, Harry Peters, Michael A. Valenti, Russell William Newton, Stephen Carl Larkin, Travis Creed
Arbitrator(s): Michael S. Matek, Mark S. Foster, Michael D. Fitzgerald
Hearing Site: Omaha, NE
| | $0 |
| 17-00750 | 02/16/2018 | Claimant(s): Elizabeth Nickens
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): Christopher Bennett, J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Sharon R. Merriman, Barry Goldman, James E. Schlottmann
Hearing Site: Louisville, KY
| | $445,000 |
| 14-03316 | 08/08/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Bryan H. Heckenlively
Respondent(s): Harvey Klyce
Respondent Lawyers(s): Michael A. Valenti
Arbitrator(s): Herb Schwartz, Timothy P. Bogan, Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 14-00986 | 02/23/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Brandon Neal
Respondent Lawyers(s): Michael A. Valenti
Arbitrator(s): Amelia F. Adams, Anthony G. Belak, Martin Augustus Graf
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
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