| 23-01909 | 06/27/2024 | Claimant(s): Janice Schiff, The Estate of Raymond Schiff
Claimant Lawyers(s): Dennis E. Boyle
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
|  | $47,000 |
| 23-02693 | 03/12/2024 | Claimant(s): George Were Obama
Claimant Lawyers(s): Thomas Nealy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara LaClair
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
| | Dismissed by Rule 12212© |
| 22-02116 | 02/02/2024 | Claimant(s): Dean Reeves
Claimant Lawyers(s): William Thomas Lacy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
| | $0 |
| 17-02422 | 01/14/2020 | Claimant(s): Delores Trupiano, Philip Trupiano, Delores R. Trupiano Rev. Trust, Philip J. Trupiano Rev. Trust
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Beth Debouvre, Christopher Gammon, Kim Kopacka, Timothy Kopacka, IMS Securities.
Respondent Lawyers(s): Beth Ann Debouvre, Jackie Wadsworth, Joseph Suarez, Kim Kahala Kopacka, Timothy James Kopacka
Arbitrator(s): Robert H. Putnam, Harvey R. Linder, Harry G. Mason
Hearing Site: Columbia, SC
| | $0 |
| 18-02022 | 12/26/2019 | Claimant(s): John Seltzer
Claimant Lawyers(s): Bruce Sanders
Respondent(s): Edwin Bartlett, Merrill Lynch Pierce Fenner & Smith Inc., Ryan Marchi
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Harry G. Mason
Hearing Site: Raleigh, NC
| | $0 |
| 17-02915 | 05/03/2019 | Claimant(s): Christopher Hubbard, Julia Hubbard
Claimant Lawyers(s): Jonathan Palmer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith Barnett
Arbitrator(s): Harry G. Mason, Marcia A. Ogilvie, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | Expungement |
| 17-00487 | 11/29/2018 | Claimant(s): Joyce Livengood, Norman Livengood IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Harry G. Mason
Hearing Site: Raleigh, NC
| | $0 |
| 17-01205 | 10/30/2018 | Claimant(s): Robert Cline
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James A. Hayes, Harry G. Mason, David F. Simon
Hearing Site: Charlotte, NC
| | $127,925 |
| 16-03603 | 06/07/2018 | Claimant(s): Hugh and Amy (Betty) Mitchell
Claimant Lawyers(s): Charles A McCallum
Respondent(s): Brian Anderson, Raymond James Financial Services., Anderson Pewitt & AssociatesL Financial Holdings., Weybridge Capital Partners, GP
Respondent Lawyers(s): Aaron Furniss, Joel M. Everest, Richard Frankowski
Arbitrator(s): Harry G. Mason, J. Wesley Romine, Roslyn Barbee
Hearing Site: Birmingham, AL
| | Expungement |
| 16-03385 | 01/19/2018 | Claimant(s): Richard Ausfahl
Claimant Lawyers(s): John A. Brinkley
Respondent(s): Charles Smith, David Hyman, Gregory Smith, G.L.S. & Associates.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): D. Bruce Shine, Harry G. Mason, Richard K. Smith
Hearing Site: Nashville, TN
| | $0 |
