| 23-00739 | 08/30/2024 | Claimant(s): Rosalie Balhan
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Edward Jones
Respondent Lawyers(s): Michelle D. Nasser
Arbitrator(s): Lynn Hirschfeld Brahin, John L. Krauss, David Joseph Remondini
Hearing Site: Indianapolis, IN
|  | Dismissed by Rule 12700(a) |
| 23-01172 | 03/08/2024 | Claimant(s): Brett Ramsey
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): LPL Financial LLC, WFG Investments.
Respondent Lawyers(s): David Williams, Rochelle Mayfield
Arbitrator(s): John L. Krauss, Jeffrey Bruce Bailey, David Wesley McIntosh
Hearing Site: Indianapolis, IN
| | |
| 23-00126 | 07/20/2023 | Claimant(s): Michael Berger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John L. Krauss
Hearing Site: Indianapolis, IN
| | |
| 21-01145 | 10/22/2021 | Claimant(s): Tyler Maddox
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Sherrill Wm Colvin, John L. Krauss, David Joseph Remondini
Hearing Site: Indianapolis, IN
| | |
| 16-00180 | 05/24/2017 | Claimant(s): Marlene Lane
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Susan L. Walker, John L. Krauss, William Peter Kealey
Hearing Site: Indianapolis, IN
| | Expungement |
| 10-00899 | 09/21/2011 | Claimant(s): Lorrie Rink, Michael Rink
Claimant Lawyers(s): Mark E Maddox
Respondent(s): Lisa Stover, Primevest Financial Services.
Respondent Lawyers(s): David Williams Russell
Arbitrator(s): Tim V. Young, John L. Krauss, James A. Morrow
Hearing Site: Indianapolis, IN
| | Stipulated Award and Expungement |
| 06-04784 | 09/13/2007 | Claimant(s): Pamela Maloof, Pamela M. Maloof IRA, Pamela M. Maloof, and Kathleen J. Smit
Claimant Lawyers(s): Jeffrey P. Hintermeister
Respondent(s): Christopher Saxon, Kathleen Smitz, Raymond James Financial Services.
Respondent Lawyers(s): Christopher Eric Saxon, Erin Linehan, Jeffrey P. Hintermeister
Arbitrator(s): Todd L. Barlow, John L. Krauss, Michael J. Cork
Hearing Site: Indianapolis, IN
| | $393,375 |
