| 22-00111 | 08/04/2022 | Claimant(s): Gregory Crance
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Marvin Kent Speigner
Hearing Site: Birmingham, AL
| | |
| 21-02546 | 07/14/2022 | Claimant(s): Jeannan Brewer, John Brewer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura T. Ruiz Rivera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | |
| 21-02881 | 06/08/2022 | Claimant(s): John Holt
Claimant Lawyers(s): Joel M. Everest
Respondent(s): CUSO Financial Services, L.P.
Respondent Lawyers(s): Maria J. Seedner
Arbitrator(s): Earle J. Schwarz
Hearing Site: Birmingham, AL
| | |
| 20-01899 | 02/15/2022 | Claimant(s): Kristi Trowbridge, Stephen Trowbridge
Claimant Lawyers(s): Ross E Webster
Respondent(s): Kestra Investment Services, Llc
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Bill Lamoreaux, Victor L. Hayslip, Charles Lange Clark
Hearing Site: Birmingham, AL
| | |
| 21-02481 | 01/13/2022 | Claimant(s): Charles Carson
Claimant Lawyers(s): William Preston Martin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Bill Port
Arbitrator(s): David A. Schuler
Hearing Site: Birmingham, AL
| | |
| 20-01401 | 07/13/2021 | Claimant(s): Raymond James Financial Services., Raymond James Financial Services Advisor
Claimant Lawyers(s): Robert Jamieson
Respondent(s): William Hocutt
Respondent Lawyers(s): Anne T. Freeland
Arbitrator(s): Barbara Black, Clarence H. Hampton, Howard Moss Miles
Hearing Site: Birmingham, AL
| | |
| 17-03201 | 07/06/2021 | Claimant(s): Curtis Broom, Joseph Moore
Claimant Lawyers(s): Andrew Allen
Respondent(s): AXA Advisors, AXA Network LLC
Respondent Lawyers(s): Matthew I. Penfield
Arbitrator(s): Fern H Singer
Hearing Site: Birmingham, AL
| | |
| 20-02679 | 06/11/2021 | Claimant(s): Susan Moore
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
| | |
| 20-02800 | 05/21/2021 | Claimant(s): Ying Zhao
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
| | |
| 20-03217 | 04/28/2021 | Claimant(s): William Hocutt
Claimant Lawyers(s): Anne T. Freeland
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | |
