| 19-02570 | 02/26/2020 | Claimant(s): Stokes Baird
Claimant Lawyers(s): William W. Allen
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Alexander M. Marks
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Louisville, KY
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| 16-01158 | 08/02/2017 | Claimant(s): Deborah Greenlee-Keck
Claimant Lawyers(s): Matthew W. Schramm
Respondent(s): Wells Fargo Advisors, J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap, William W. Allen
Arbitrator(s): Robert J. Scafuri, Judith Ann Estabrook Shepard, F. Bradford Johnson
Hearing Site: Indianapolis, IN
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| 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
| | |
| 14-03544 | 08/04/2015 | Claimant(s): Vaughan Scott
Claimant Lawyers(s): William W. Allen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Tim V. Young
Hearing Site: Louisville, KY
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| 14-01416 | 06/01/2015 | Claimant(s): Robert Armstrong
Claimant Lawyers(s): William W. Allen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): D. Bruce Shine
Hearing Site: Louisville, KY
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| 14-00744 | 02/13/2015 | Claimant(s): Julie Farkas
Claimant Lawyers(s): Julie B. Farkas
Respondent(s): Amy Brannen, Wells Fargo Advisors, Jennifer Reigle, John Gardner, Michael Brannen, Sheila Kerr
Respondent Lawyers(s): William W. Allen
Arbitrator(s): Allan Weiss, Jan M. West, James Douglas Wilbanks
Hearing Site: Louisville, KY
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| 09-00363 | 08/20/2010 | Claimant(s): C. Nelson, Jonathan Daniels, Linda Nelson
Claimant Lawyers(s): William W. Allen
Respondent(s): Jeff Garstka, Myron Schneidt
Respondent Lawyers(s): Charles C. Mihalek, M. David Schneidt
Arbitrator(s): Allan Weiss, Richard B. Lewis, Jarrett Andrew Jacobs
Hearing Site: Louisville, KY
|  | $1,152,300 |
| 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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