| 21-00242 | 10/06/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith Barnett
Respondent(s): Matthew Sherbondy
Respondent Lawyers(s): William R. Carlisle
Arbitrator(s): Mollie Wagner Neal, David Blair Sinyard, Edward Martin Davidson
Hearing Site: Atlanta, GA
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| 21-02239 | 10/24/2022 | Claimant(s): Walter Helms
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
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| 22-00114 | 09/23/2022 | Claimant(s): Gregory Crance
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Oneamerica Securities., Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Birmingham, AL
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| 20-03615 | 06/13/2022 | Claimant(s): Larry Cabrera
Claimant Lawyers(s): Thomas Momjian
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Victor L. Hayslip
Arbitrator(s): Mollie Wagner Neal, Robert Paul Michaud, Victoria Liccione
Hearing Site: Charlotte, NC
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| 20-03205 | 04/16/2021 | Claimant(s): Kevin Higginbotham
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
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| 18-03464 | 09/01/2020 | Claimant(s): Paul Valencia
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jennifer W. Persico
Arbitrator(s): Lita S Menkin, Mollie Wagner Neal, Bryan Myerson Ward
Hearing Site: Atlanta, GA
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| 17-01468 | 11/15/2017 | Claimant(s): Edward Miller
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
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| 17-00743 | 10/20/2017 | Claimant(s): Frank Carrasco
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
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| 11-02550 | 10/24/2012 | Claimant(s): Cherry Westbrook, Jonathon Edens
Claimant Lawyers(s): Edmund J. Novotny
Respondent(s): State Farm Mutual Auto Insurance Company
Respondent Lawyers(s): James J. Oh
Arbitrator(s): James G. Killough, Mollie Wagner Neal, Julieta L Smith
Hearing Site: Atlanta, GA
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| 10-04444 | 10/04/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Elliott Moskowitz
Respondent Lawyers(s): Michael G. Donovan
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Raleigh, NC
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