| 20-00090 | 06/08/2020 | Claimant(s): Christopher Mise
Claimant Lawyers(s): Brian Luther
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
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| 19-02697 | 03/17/2020 | Claimant(s): Aaron Gore, David Monckton, Ronald Metcalf, Samuel Head
Claimant Lawyers(s): Bryce Benson
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Richard S. Zaifert, Harvey R. Linder, Brian Stafford
Hearing Site: Columbia, SC
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| 19-02064 | 02/10/2020 | Claimant(s): Paul Baily
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Richard S. Zaifert
Hearing Site: Columbia, SC
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| 18-00351 | 01/23/2020 | Claimant(s): Samuel Adams
Claimant Lawyers(s): David E Rothstein
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ashley Kutz Kelly
Arbitrator(s): Gregory D. Hoffmann, Patricia Ann Tracey, Bruce W. Bennett
Hearing Site: Columbia, SC
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| 17-01775 | 11/07/2019 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Carole G. Miller
Respondent(s): James Moore
Respondent Lawyers(s): Elizabeth Zeck
Arbitrator(s): Kenneth J. Daras, Stephen P. Hoffman, Richard Leo King
Hearing Site: Columbia, SC
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| 19-00472 | 11/04/2019 | Claimant(s): Eric Vogen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
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| 19-00473 | 10/01/2019 | Claimant(s): Eric Vogen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
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| 18-03090 | 07/29/2019 | Claimant(s): Christopher St. John
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Stuart K. Furman
Hearing Site: Columbia, SC
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| 18-03041 | 06/13/2019 | Claimant(s): Joseph Schofield
Claimant Lawyers(s): Jennifer A. Lesny Fleming
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
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| 18-00623 | 03/07/2019 | Claimant(s): Deborah Debow
Claimant Lawyers(s): Ann Marie Fitz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert H. Putnam, Michael J. Ahlstrom, Brock B. Gordon
Hearing Site: Columbia, SC
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