| 20-02468 | 05/06/2022 | Claimant(s): Janice Compton
Claimant Lawyers(s): Niel Prosser
Respondent(s): Thomas Buck
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Ian S. Greig, Mollie Wagner Neal, Gary E. Marcus
Hearing Site: Memphis, TN
|  | $5,216,020 |
| 20-00549 | 02/27/2021 | Claimant(s): Kevin A. McIntyre Rollover IRA
Claimant Lawyers(s): Kevin A. McIntyre
Respondent(s): Kevin McIntyre, TD Ameritrade.
Respondent Lawyers(s): John Stewart, Kevin A. McIntyre
Arbitrator(s): William Barker Brown, James P. Kinkade, Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | $0 |
| 17-01368 | 07/15/2019 | Claimant(s): Chad Greer, Jerry Trawick, Louise Trawick, Marilyn Bjornas, Michelle Greer, Richard Bjornas
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Jerry McCutchen, Richard Murphy, Ronald Brendengen, Thomas Berthel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Lita S Menkin, Mark A. Myers, Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | $1,161,120 |
| 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 |
| 15-01777 | 06/05/2017 | Claimant(s): Ana Maria Estrella
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Mollie Wagner Neal, George Harrison Lemmond, Deborah Johns Tatum
Hearing Site: Atlanta, GA
| | Expungement |
| 14-02056 | 02/24/2017 | Claimant(s): Jo Ann Bennett, Jasmine A. Hopson, Laprecious Hopson, Cevera H. Davis, IRA, Gloria Stamps, Jo Ann Bennet, Roth IRA, Maggie M. Cooper, Marilyn Grather, Marvin L. Falvey, Nancy Falvey, Patty L. Myers, Roy E. Crampton III IRA Rollover, Roy E. Crampton, Russell L. Laird, W.L. Cupit, William D. Falvey
Claimant Lawyers(s): Judson M. Lee
Respondent(s): Logan Phillips, Morgan Keegan & Company, Raymond, James & Associates.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Barbara L. Edin, Mollie Wagner Neal, William T. Bowen
Hearing Site: Jackson, MS
| | $761,771 |
| 15-01675 | 02/10/2017 | Claimant(s): David L. Oldani
Claimant Lawyers(s): Richard Frankowski
Respondent(s): UBS Financial Services Inc., Stewart Anderson
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Nashville, TN
| | $0 |
| 14-03382 | 08/18/2015 | Claimant(s): Robert O. Porter and Mary H. Porter Fami
Claimant Lawyers(s): Robert A Prahl
Respondent(s): Wells Fargo Advisors, Laheeb Karana
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | Expungement |
| 14-00774 | 06/15/2015 | Claimant(s): Jerry Dean, Jerry Dean IRA, Roth IRA and SEP IRA
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): Mollie Wagner Neal, Sanford S. Finder, Harvey Russell Preston
Hearing Site: Columbia, SC
| | $122,000 |
| 13-02530 | 01/29/2015 | Claimant(s): Christopher & Jacqueline Stone
Claimant Lawyers(s): Dave Maxfield
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Columbia, SC
| | Expungement |
