| 16-00080 | 03/02/2017 | Claimant(s): Malcom Blankenship
Claimant Lawyers(s): Malcom B. Blankenship
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
|  | Expungement |
| 14-02593 | 12/16/2015 | Claimant(s): Eric Martin
Claimant Lawyers(s): Alexander Mark Rowland
Respondent(s): Arash Assadzadeh, Wells Fargo Advisors, Louis Ayala
Respondent Lawyers(s): Deidre C. Wolff, Louis Alfonso Ayala, Scott Holcomb
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | $3,600 |
| 14-00170 | 05/19/2015 | Claimant(s): Juan Rosado
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of PR
Respondent Lawyers(s): Bradley B. Rounsaville, Roberto Quinones
Arbitrator(s): Ron Pekoe, Robert H. Putnam, Herbert Branitsky
Hearing Site: San Juan, PR
| | $1,000,000 |
| 13-00911 | 12/05/2014 | Claimant(s): Chatur Chhabbhaya
Claimant Lawyers(s): Chatur Chhabbhaya
Respondent(s): Ivan Angulo, Kishankumar Koladiya, Niyukt Bhasin, NSM Securities.
Respondent Lawyers(s): Ivan Dario Angulo, Kishankumar M. Koladiya, Niyukt Raghu Bhasin, Niyukt Bhasin
Arbitrator(s): Robert H. Putnam, John F. Allgood, Osei J Adoma
Hearing Site: Atlanta, GA
| | $0 |
| 12-03320 | 06/27/2014 | Claimant(s): Susan Dumas
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jason Parker, E*Trade Securities LLC
Respondent Lawyers(s): Jason Charles Parker, Meredith Felde Hoffman
Arbitrator(s): Robert H. Putnam, Constance P. Barr, James David Askren
Hearing Site: Atlanta, GA
| | $0 |
| 12-01769 | 04/15/2013 | Claimant(s): Joshua Segue
Claimant Lawyers(s): Joshua Pierre Segue
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Gary P. Alexander, Robert H. Putnam, J. G. Long
Hearing Site: Atlanta, GA
| | $0 |
| 11-02009 | 10/22/2012 | Claimant(s): James Lunceford, James D. Lunceford, TTEE
Claimant Lawyers(s): J. Pat Sadler
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): August H. Schupp
Arbitrator(s): Robert H. Putnam, Joe E. Manuel, Brandt Leonard Ross
Hearing Site: Atlanta, GA
| | Expungement |
| 11-02048 | 07/18/2012 | Claimant(s): William Charles Jones
Claimant Lawyers(s): William Charles Jones
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | Expungement |
| 11-02896 | 02/24/2012 | Claimant(s): Daniel McCarthy
Claimant Lawyers(s): Dan McCarthy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | $0 |
| 10-05826 | 12/01/2011 | Claimant(s): Debbie Houston, Laura Lett
Claimant Lawyers(s): J. Michael Bishop
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith J. Barnett
Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Bruce W. Bennett
Hearing Site: Atlanta, GA
| | $130,300 |
