| 18-02831 | 02/06/2019 | Claimant(s): Marva Monroe
Claimant Lawyers(s): Marva M. Monroe
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., Paul Donofrio
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Bruce W. Bennett
Hearing Site: Atlanta, GA
|  | $0 |
| 14-00343 | 12/17/2018 | Claimant(s): Utility Service Holding Company.
Claimant Lawyers(s): J. Michael Bishop
Respondent(s): Candace Weir, C. L. King & Associates.
Respondent Lawyers(s): Christopher F. Robertson, Richard A. Roth
Arbitrator(s): Gary J. Leshaw, John D. Mattingly, Yvette L. Nurse
Hearing Site: Atlanta, GA
| | $0 |
| 15-01833 | 10/19/2018 | Claimant(s): Luis Moyett, DDL Jerico SE, Ludida PR.
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Gregory M. McCormick
Arbitrator(s): Robert N. Leitch, Ronelle W. Genser, Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | $19,003,700 |
| 18-00027 | 06/07/2018 | Claimant(s): Huy Hoang
Claimant Lawyers(s): Huy Ngoc Hoang
Respondent(s): E*Trade Securities LLC, E*Trade Futures LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | $300 |
| 15-02666 | 04/16/2018 | Claimant(s): Mary Lee Darby Revocable Trust
Claimant Lawyers(s): Allisaon S. Ficken
Respondent(s): William Smith, Sterne Agee Financial Services.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Robert N. Leitch, Jay A Kaplan, Larry Kenneth Lott
Hearing Site: Atlanta, GA
| | Expungement |
| 16-03721 | 03/07/2018 | Claimant(s): Sterling Huntley
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Apex Clearing Corporation, TradingBlock
Respondent Lawyers(s): Debra A. Jenks, Jonathan D. Neerman
Arbitrator(s): Harvey R. Linder, Deborah Johns Tatum, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | $0 |
| 17-01869 | 12/01/2017 | Claimant(s): Optionsxpress.
Claimant Lawyers(s): Jonathan D Berg
Respondent(s): Jagdish Agrawal, Sarla Agrawal
Respondent Lawyers(s): Jagdish Agrawal, Sarla Agrawal
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | $0 |
| 16-01770 | 11/27/2017 | Claimant(s): Philip Evans
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Barry DekreekL Financial LLC
Respondent Lawyers(s): Mickey Wright, Thomas F. Barnett
Arbitrator(s): James R. McGuone, Ronelle W. Genser, Marcia A. Ogilvie
Hearing Site: Atlanta, GA
| | Expungement |
| 16-03631 | 11/01/2017 | Claimant(s): Estate of Frances C. Jordan
Claimant Lawyers(s): James G. Harralson
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine Schuerman
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | $300 |
| 15-02953 | 10/25/2017 | Claimant(s): Arthur Goolsby, Benjamin Dumas, Christine Daniels, Ernestine Fulford, Glenda Bozeman, James Bozeman, Joseph Dumas, Joyce Grogan, Shirley Fulford, Summer Bozeman, Susan Dumas, Terry Fulford
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jason Parker
Respondent Lawyers(s): Jason Charles Parker
Arbitrator(s): Brock B. Gordon
Hearing Site: Atlanta, GA
| | $5,143,840 |
