| 22-01936 | 05/12/2023 | Claimant(s): Gene Whobrey, Susanne Whobrey
Claimant Lawyers(s): William B. Young
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Charles E. White, Samuel Appel, Olivia Corrie Smith
Hearing Site: Atlanta, GA
|  | Dismissed with Rule 12206 |
| 21-00880 | 03/20/2023 | Claimant(s): Calvin Cross, Chareka Cross
Claimant Lawyers(s): Paul J. Pontrelli
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sonia Balfour-Fears
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Michael J. Ahlstrom, Gwendolyn C. Walker
Hearing Site: Atlanta, GA
| | Expungement |
| 19-02624 | 03/09/2023 | Claimant(s): Forrest Sweat, Susan Sweat, Forrest W. Sweat Jr SEP-IRA, Forrest W. Sweat Jr. Roth IRA, Forrest w. Sweat, Jr. Traditional IRA, Susan D Sweat Roth IRA, Susan D. Sweat Traditional IRA, Susan/Forrrest Sweat JROS WOD
Claimant Lawyers(s): Charles M Dalziel
Respondent(s): Anthony Mesquit, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Michael J. Ahlstrom, J.G. Long, William L. Rittenberg
Hearing Site: Atlanta, GA
| | $0 |
| 22-01610 | 12/21/2022 | Claimant(s): William Wynn
Claimant Lawyers(s): William F. Wynn
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Mark Audrain
Arbitrator(s): Chandler R. Bridges
Hearing Site: Atlanta, GA
| | $0 |
| 21-00408 | 11/28/2022 | Claimant(s): Johnathan Short
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): James C. Hoover, Bruce W. Bennett, Eve M Wright
Hearing Site: Atlanta, GA
| | Expungement |
| 22-00517 | 09/29/2022 | Claimant(s): James Bernell Nelson IRA
Claimant Lawyers(s): James Bernell Nelson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): J.G. Long
Hearing Site: Atlanta, GA
| | $163 |
| 21-02234 | 09/06/2022 | Claimant(s): Billy Loveless, Donald Robinson, Douglas Kasemeier, Rhett Rainey, Robert Burgner, Robert Goodman, Sharon Padden, Timothy Padden, Wesley Callaway, Toucan Holdings L.P., Kelley A. Rainey Trust, The Burgner Family Charitable Remainder
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): John D. Mattingly, George Pinckney Shingler, Jennifer Chandler Garvin
Hearing Site: Atlanta, GA
| | $36,745,100 |
| 20-02402 | 07/26/2022 | Claimant(s): Suzann Terry Smith
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Sam Gowin, Laverne Lewis Gaskins, Lakeya Brantley
Hearing Site: Atlanta, GA
| | Expungement |
| 21-00650 | 07/11/2022 | Claimant(s): M. Barnett
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Arkadios Capital
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James C. Hoover, Michael Ryan Peacock, Lakeya Brantley
Hearing Site: Atlanta, GA
| | Expungement |
| 20-03978 | 06/28/2022 | Claimant(s): Jeff and Karen Misner Revocable Trust
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): J.G. Long, Thomas James Hirsch, Jeffrey Alperin
Hearing Site: Atlanta, GA
| | $1,342,120 |
