| 20-00301 | 04/02/2021 | Claimant(s): Kay LaMon
Claimant Lawyers(s): Jeff Goodwyn
Respondent(s): LPL Financial LLC, Richard Dearinger
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Stephen Earl Clark
Hearing Site: Columbia, SC
|  | $0 |
| 19-02885 | 01/07/2021 | Claimant(s): Judith Thumann
Claimant Lawyers(s): John Da Grosa Smith
Respondent(s): Kevin Larson, Kimberley Holweger, Marcelino Alicea, Cetera Advisors LLC., Financial Fidelity Services.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael J. Ahlstrom, Alan C. Granath, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | Expungement |
| 19-00796 | 03/10/2020 | Claimant(s): Charlene Robson, David Robson
Claimant Lawyers(s): Pamela S Duffy
Respondent(s): David Specht, Leslie Hankinson, Fidelity Brokerage Services LLC, Strategic Advisers
Respondent Lawyers(s): Nioah D. Sorkin
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
| | $34,125 |
| 18-03366 | 02/26/2020 | Claimant(s): Dianne Hardy, Gary Hardy
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Michael J. Ahlstrom, G. Maynard Green
Hearing Site: Birmingham, AL
| | $0 |
| 18-03960 | 11/12/2019 | Claimant(s): Catherine Baker
Claimant Lawyers(s): D. Daxton White
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Richard H. Potter, Michael J. Ahlstrom, John A. Baynes
Hearing Site: Charlotte, NC
| | $228,384 |
| 17-00765 | 02/13/2019 | Claimant(s): The Malave-Torres Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): Michael J. Ahlstrom, Cheryl E. Winton, Mark Ritchie
Hearing Site: San Juan, PR
| | Expungement |
| 18-02597 | 01/08/2019 | Claimant(s): Peggy Russell
Claimant Lawyers(s): Edward M. Bearman
Respondent(s): Richard Burt
Respondent Lawyers(s): Richard Allen Burt
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Memphis, TN
| | $300 |
| 18-00376 | 10/16/2018 | Claimant(s): Marsha Neuenschwander
Claimant Lawyers(s): Marsha M. Neuenschwander
Respondent(s): Elsa Cazares, James Neuenschwander, Michael Neuenschwander
Respondent Lawyers(s): Robert E. Menje
Arbitrator(s): Robert H. Putnam, Michael J. Ahlstrom, Coleman Robert Perry
Hearing Site: Nashville, TN
| | $0 |
| 17-00282 | 08/23/2018 | Claimant(s): Joan Pierce
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): William O.L. Hutchinson
Arbitrator(s): Michael J. Ahlstrom, James C. Hoover, John Winslow Griesser
Hearing Site: Columbia, SC
| | Expungement |
| 16-03173 | 12/05/2017 | Claimant(s): Mary Lee
Claimant Lawyers(s): David P Coates
Respondent(s): Larry George, AXA Advisors, William Evans
Respondent Lawyers(s): Connie M. Anderson, Hector D. Geribon
Arbitrator(s): Michael J. Ahlstrom, Darrell A. Hillis, Harry G. Mason
Hearing Site: Nashville, TN
| | Dismissed by Rule (12200/12201) |
