| 24-01133 | 11/05/2024 | Claimant(s): Alfred Bunge
Claimant Lawyers(s): Ronald J. Tomassi
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Steven R. Rolnick, Lawrence R. Mills, Neil Harvey Smith
Hearing Site: Boca Raton, FL
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| 24-00773 | 10/02/2024 | Claimant(s): Christopher Gordon
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Lincoln Financial Securities Corporation
Respondent Lawyers(s): Richard E. Ramirez
Arbitrator(s): Peter Ordower, Benjamin F. Breslauer, Neil Harvey Smith
Hearing Site: Baltimore, MD
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| 23-01084 | 02/01/2024 | Claimant(s): Toby Green
Claimant Lawyers(s): Brian Luther
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Neil Harvey Smith
Hearing Site: Nashville, TN
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| 20-01142 | 04/28/2021 | Claimant(s): William Phillips
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc., UBS Financial Services Inc.
Respondent Lawyers(s): Christopher M. Sacco, Omar Perez
Arbitrator(s): Neil Harvey Smith
Hearing Site: Nashville, TN
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| 17-01391 | 12/26/2017 | Claimant(s): David Adams
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Neil Harvey Smith, Theodore Haynes, Stephen Edward Cundiff
Hearing Site: Nashville, TN
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| 17-00304 | 10/12/2017 | Claimant(s): Thomas Fields
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons., Wells Fargo Advisors, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, Deirdre Wolff
Arbitrator(s): Neil Harvey Smith
Hearing Site: Nashville, TN
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| 16-02206 | 01/30/2017 | Claimant(s): Susan Moore
Claimant Lawyers(s): Joel M. Everest
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Neil Harvey Smith
Hearing Site: Birmingham, AL
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| 12-03152 | 03/10/2014 | Claimant(s): Ricky McReynolds
Claimant Lawyers(s): Ricky Allen McReynolds
Respondent(s): Robbi Jones, Kipling Jones & Co., Ltd.
Respondent Lawyers(s): R. Kipling Jones
Arbitrator(s): John J. Bucko, D. Bruce Shine, Neil Harvey Smith
Hearing Site: Nashville, TN
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| 07-00269 | 03/05/2008 | Claimant(s): Cambridge Equity Advisors., Cambridge Way.
Claimant Lawyers(s): Stanley M. Chernau
Respondent(s): Aaron Vallett, Maggie Nuzum, Michael Goldston
Respondent Lawyers(s): David Zager, Stanley M. Chernau
Arbitrator(s): Brendan E. Finucane, Ronald M. Gordon, Neil Harvey Smith
Hearing Site: Nashville, TN
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