| 24-01066 | 08/28/2024 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew DeLucia
Respondent(s): Michael Magruder
Respondent Lawyers(s): Michael Edwin Magruder
Arbitrator(s): Robert H. Putnam
Hearing Site: Birmingham, AL
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| 24-00747 | 08/16/2024 | Claimant(s): Stonex Advisors., Stonex Securities Inc.
Claimant Lawyers(s): Peter J. Tepley
Respondent(s): William Hocutt
Respondent Lawyers(s): Anne T. Freeland
Arbitrator(s): Steven P. Gregory, Ronald Childress, Grace Almanza Phillips
Hearing Site: Birmingham, AL
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| 23-01289 | 04/10/2024 | Claimant(s): David Hancock
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Lita S. Menkin
Hearing Site: Birmingham, AL
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| 22-02757 | 09/01/2023 | Claimant(s): Kristi Trowbridge, Steve Trowbridge
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Robert Abrams
Arbitrator(s): Earle J. Schwarz
Hearing Site: Birmingham, AL
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| 22-02369 | 07/10/2023 | Claimant(s): Christopher Hagen
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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| 22-00857 | 06/08/2023 | Claimant(s): Michael Ballard
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Concourse Financial Group Securities, In, G.F. Investment Services
Respondent Lawyers(s): Larry W. Yager, Margaret M. Siller
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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| 22-02149 | 03/24/2023 | Claimant(s): James Roberson
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Earle J. Schwarz
Hearing Site: Birmingham, AL
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| 22-00868 | 12/06/2022 | Claimant(s): Stephen Williams
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): NEXT Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Harvey R. Linder, Nathan Allen Collins, Cynthianther May
Hearing Site: Birmingham, AL
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| 22-00861 | 11/29/2022 | Claimant(s): Michael Ballard
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): Bradley Ziegler
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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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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