| 15-00072 | 03/09/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Christopher Smith
Respondent Lawyers(s): Christopher Ray Smith
Arbitrator(s): Nigel W. Sadd, James C. Hoover, Robert N. Kohn
Hearing Site: Birmingham, AL
| | |
| 14-03821 | 06/25/2015 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Woodley Bagwell
Respondent Lawyers(s): Woodley H. Bagwell
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
| 14-01728 | 04/02/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette P Morales
Respondent(s): John l. Norris Rollover, Vivianne Norris IRA Rollover, John L. Norris and Vivianne Norris JT TE
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Coleman Robert Perry, C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 14-01963 | 03/31/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Fred Brown
Respondent Lawyers(s): Fred Ronald Brown
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
| 13-03424 | 07/02/2014 | Claimant(s): Morgan Stanley, Stephen Daughdrill
Claimant Lawyers(s): Julie Wilson Portera
Respondent(s): George Sullivan
Respondent Lawyers(s): P. Bradley Murray
Arbitrator(s): Allen J. Krouse
Hearing Site: Birmingham, AL
| | Expungement |
| 12-03921 | 02/06/2014 | Claimant(s): Bryan Anderson
Claimant Lawyers(s): John G. Dana
Respondent(s): Pruco Securities., Thomas Brannan, The Prudential Insurance Company of Amer
Respondent Lawyers(s): E. Glenn Waldrop, Kevin D. Hofman
Arbitrator(s): Steven P. Gregory, Victor L. Hayslip, Charles Lange Clark
Hearing Site: Birmingham, AL
| | |
| 11-02747 | 05/21/2013 | Claimant(s): Timothy Gautney, Aura Asset Management., Aura Financial Services.
Claimant Lawyers(s): John G Dana
Respondent(s): James Webb, Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb, Ronald M. Amato
Arbitrator(s): Lita S Menkin, Cherie J. Jolly, Charles M. Thompson
Hearing Site: Birmingham, AL
| | |
| 12-02716 | 01/22/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Thompson
Respondent Lawyers(s): Robert Sidney Thompson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
| 11-03606 | 01/17/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Brian R. Mills
Respondent(s): John Hackbarth
Respondent Lawyers(s): John Melton Hackbarth
Arbitrator(s): C. Sumpter Logan
Hearing Site: Birmingham, AL
| | |
| 12-01483 | 12/19/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Big Swell f/k/a Tovar., Nathan Phillip Friedlander SEP-IRA, Nathan & Joan Friedlander Joint Tenant, Harris Friedland Trust dd 7/25/1989
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
