16-01038 | 12/20/2016 | Claimant(s): Julie Farkas Claimant Lawyers(s): Julie B. Farkas Respondent(s): Andrew Moro, Wells Fargo Advisors, Kenneth Weiss, Richard Wilhelm, Sheila Kerr Respondent Lawyers(s): William W. Allen Arbitrator(s): Amelia F. Adams Hearing Site: Louisville, KY
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14-02756 | 03/25/2016 | Claimant(s): Woodcock Foundation Claimant Lawyers(s): Christopher W. Haden Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc. Respondent Lawyers(s): Steven M. Malina Arbitrator(s): Charles H. Maguire, Amelia F. Adams, Fred J. Naffziger Hearing Site: Louisville, KY
| | Expungement |
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
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12-04128 | 03/21/2014 | Claimant(s): John Caudill, Molly Caudill Claimant Lawyers(s): Steven M. McCauley Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David J. Butler Arbitrator(s): Amelia F. Adams, Jeffrey M. Bain, Harold G. Wren Hearing Site: Louisville, KY
| | $202,375 |
11-03539 | 07/19/2013 | Claimant(s): Lois Padgett, Vic Padgett Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Amelia F. Adams Hearing Site: Indianapolis, IN
| | Expungement |
09-06023 | 12/20/2010 | Claimant(s): Harriet Johnson, Jan Patton, Robert Patton Claimant Lawyers(s): Steven M. McCauley Respondent(s): Joseph Stricklin, Morgan Keegan & Company. Respondent Lawyers(s): Janet P. Jakubowicz Arbitrator(s): Amelia F. Adams, Allan Weiss, Gail Burke Tway Hearing Site: Louisville, KY
| | $0 |
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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05-04639 | 12/21/2007 | Claimant(s): Wachovia Securities Claimant Lawyers(s): William W. Allen Respondent(s): David Pennington, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David E. Davidson, Russell Sayre Arbitrator(s): Amelia F. Adams, Carolyn K. Balleisen, John D. Robb Hearing Site: Louisville, KY
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06-03942 | 10/31/2007 | Claimant(s): The Estate of Sydney G. Smith, Jr. Claimant Lawyers(s): Bradley R. Hoyt Respondent(s): Raffi Oghlian, Brookstreet Securities Corporation Respondent Lawyers(s): H. Thomas Fehn, Raffi Oghlian Arbitrator(s): Amelia F. Adams, Stuart Arthur Reagan, Peter F. von Meister Hearing Site: Cincinnati, OH
| | $30,000 |