| 21-00534 | 03/16/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Richard Louis
Respondent Lawyers(s): Richard Pierre Louis
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Atlanta, GA
|  | $0 |
| 21-00975 | 03/07/2022 | Claimant(s): Mesfin Shibeshi
Claimant Lawyers(s): Mesfin Solomon Shibeshi
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert H. Putnam, Peggy Lewis Kennedy, Jeffrey Alperin
Hearing Site: Atlanta, GA
| | $0 |
| 20-00069 | 02/24/2022 | Claimant(s): Alfred Woodard
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Douglas Guarino, Jonothon Lieberman, Rockwell Global Capital LLC
Respondent Lawyers(s): Douglas Joseph Guarino, Jonothon Michael Lieberman, Robert M. Bursky
Arbitrator(s): Brandt Leonard Ross, Ernest Linwood Gunn, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | $80,300 |
| 19-00807 | 01/21/2022 | Claimant(s): NLT Holdings Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Peter G. Wilson
Arbitrator(s): Gary J. Leshaw, Bruce W. Bennett, Larry Mims
Hearing Site: Atlanta, GA
| | $0 |
| 19-01960 | 11/29/2021 | Claimant(s): Claudine Webb
Claimant Lawyers(s): Alex B. Kaufman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): James C. Hoover, John James Rubin, Rebekah Ratliff
Hearing Site: Atlanta, GA
| | $20,000 |
| 20-01836 | 11/02/2021 | Claimant(s): Retina Consultants, P.C., P.C. Pension Plan
Claimant Lawyers(s): John B. Long
Respondent(s): Raymond Benjamin, South State Bank, Successor GBTL Financial LLC
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Carleton E. Blankenburg, Bruce W. Bennett, Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
| | Expungement |
| 20-00604 | 11/01/2021 | Claimant(s): James Rader
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Carina Koble
Arbitrator(s): Robert H. Putnam, Yaminah Childress, Jeffrey Kimar Coleman
Hearing Site: Atlanta, GA
| | $194,404 |
| 20-02358 | 10/29/2021 | Claimant(s): Aprile Holland, Ene-Tea Bloom, Jane Thompson, Kevin Harden, Linda Brooks, Suzana Williams, William Farrelly, The Estate of Charles Wayne Lumsden, The Estate of John Francis Crosbie
Claimant Lawyers(s): David A. Bain
Respondent(s): Bart Bohrer, Donald Pollard, Gordon Dihle, Capital Financial Holdings., Capital Financial Services.
Respondent Lawyers(s): Michael Stegawski
Arbitrator(s): Joe E. Manuel, Larry Kenneth Lott, Larry R Armstrong
Hearing Site: Atlanta, GA
| | $755,723 |
| 20-02338 | 10/20/2021 | Claimant(s): Suzanne Spaner
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Robert H. Putnam, Gary J. Leshaw, Arthur Cullen Hammond
Hearing Site: Atlanta, GA
| | Expungement |
| 19-02689 | 08/30/2021 | Claimant(s): Ronnie Rozier
Claimant Lawyers(s): Ronnie L Rozier
Respondent(s): Aubrey Parker, Wells Fargo Advisors
Respondent Lawyers(s): Keith Barnett
Arbitrator(s): Barbara Black, Judith Stilz Ogden, Henry Bruce Haynes
Hearing Site: Atlanta, GA
| | Expungement |
