24-00056 | 09/12/2024 | Claimant(s): Ronnie Lee Rozier Claimant Lawyers(s): Ronnie L. Rozier Respondent(s): Aubrey Parker, Wells Fargo Clearing Services, Rick Kent Respondent Lawyers(s): Deirdre C. Wolff, Luis F. Mendez Arbitrator(s): Robert H. Putnam, Andy W. Morgan, Sherri Lynne Kimmell Hearing Site: Atlanta, GA
| | Dismissed by Rule 12504 and 12206 |
22-01568 | 05/06/2024 | Claimant(s): Marc Cedarleaf, Patricia Cedarleaf Claimant Lawyers(s): Matt Williams Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Robert H. Putnam, Dana R. Krajack, William Finley Hamel Hearing Site: Columbia, SC
| | $125,400 |
23-00716 | 10/12/2023 | Claimant(s): Colleen Rosenberg Tod Claimant Lawyers(s): William B. Young Respondent(s): Cape Securities. Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Robert H. Putnam Hearing Site: Atlanta, GA
| | Expungement |
22-00836 | 09/28/2022 | Claimant(s): Aspiration Financial LLC Claimant Lawyers(s): Andrew J. Melnick Respondent(s): Jaylen Eugene Respondent Lawyers(s): Jaylen Eugene Arbitrator(s): Robert H. Putnam Hearing Site: New Orleans, LA
| | $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 |
19-01588 | 12/01/2021 | Claimant(s): Lisa Wavro Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Morgan Stanley, Kevin Welsh Respondent Lawyers(s): Nicholas N. George Arbitrator(s): Robert H. Putnam, Mauricio Arcadier, William Finley Hamel Hearing Site: Columbia, SC
| | 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 |
20-02338 | 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 |
19-03743 | 05/25/2021 | Claimant(s): Accurate Building Co. LLC Claimant Lawyers(s): Kristian Kraszewski Respondent(s): Four Points Capital Partners LLC Respondent Lawyers(s): Michael P. Gilmore Arbitrator(s): Robert H. Putnam, Patricia Ann Tracey, Denise Morris Hammond Hearing Site: Columbia, SC
| | Expungement |
18-03337 | 05/21/2020 | Claimant(s): Joseph Best Claimant Lawyers(s): Daniel D'Costa Respondent(s): Timothy Wright, Columbus Advisory Group, Ltd. Respondent Lawyers(s): Charles M. O'Rourke, Timothy Alan Wright Arbitrator(s): Robert H. Putnam Hearing Site: Atlanta, GA
| | $0 |