| 16-00049 | 08/22/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Andrew Niehus
Respondent Lawyers(s): Andrew Joseph Niehus
Arbitrator(s): Robert H. Putnam
Hearing Site: Columbia, SC
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| 15-00275 | 05/02/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jason Dudley
Respondent Lawyers(s): Jason Loy Dudley
Arbitrator(s): Robert H. Putnam, Deborah A. Jackson, Julieta L Smith
Hearing Site: Atlanta, GA
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| 15-01806 | 01/07/2016 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn D. Shaw
Respondent(s): Cynthia Wadkinson
Respondent Lawyers(s): Cynthia Lynn Wadkinson
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
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| 14-01491 | 12/07/2015 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): William Pair
Respondent Lawyers(s): William Thomas Pair
Arbitrator(s): Chandler R Bridges, Perry Lee Taylor, Robert H. Putnam
Hearing Site: Atlanta, GA
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| 14-01207 | 07/21/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Kenneth Walters
Respondent Lawyers(s): Kenneth Scott Walters
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 13-01556 | 10/27/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keith J Barnett
Respondent(s): George Claussen
Respondent Lawyers(s): James S. V. Weston
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 10-05106 | 04/11/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Donald Delahunt, James Vijande
Respondent Lawyers(s): J. Pat Sadler, Todd Ratner
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 11-04189 | 03/16/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Jeffrey Zachter
Respondent(s): Chane Hazelett
Respondent Lawyers(s): Chane W. Hazelett
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 11-01340 | 12/20/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Blake Richards
Respondent Lawyers(s): Blake Bancroft Richards
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 10-02076 | 11/11/2011 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne K Yannakakis
Respondent(s): David Reneau
Respondent Lawyers(s): Ron S. Iddins
Arbitrator(s): Robert H. Putnam, David K. Weiskircher, Judith Stilz Ogden
Hearing Site: Atlanta, GA
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