| 18-01161 | 08/29/2019 | Claimant(s): Philip Montante IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Theodore Haynes
Hearing Site: Orlando, FL
|  | $0 |
| 17-01630 | 05/06/2019 | Claimant(s): Brian Windham, Cynthia Newsom, Debra Hodge, Dennis Newsom, Edgar Fellows, Larry Newsom, Linda Byrd, Mel McCoy, Merle Smith, Patricia Roberts, Patsy Harveston, Sheila Chain, Thomas Dees, Connie Saxton IRA, Debra Hodge IRA, Dennis Newsom IRA and Roth IRA, Elaine Moss IRA, Hal Moss IRA, Jackie Boteler IRA, Larry Newsom IRA, et al
Claimant Lawyers(s): Judson Lee
Respondent(s): Logan Phillips, Morgan Keegan & Company, Raymond, James & Associates.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Mark A. Myers, James L. Warren, Theodore Haynes
Hearing Site: Jackson, MS
| | $1,790,000 |
| 17-02169 | 08/24/2018 | Claimant(s): Dan Yarbrough
Claimant Lawyers(s): Everett W. Bennett
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Theodore Haynes
Hearing Site: Columbia, SC
| | $0 |
| 16-03033 | 06/19/2018 | Claimant(s): Jeffrey Lubore, Jill Lubore, Lawson, Long & Evans LP
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Langfred W. White, Mimi B. Osiason, Theodore Haynes
Hearing Site: Nashville, TN
| | Expungement |
| 17-00352 | 05/14/2018 | Claimant(s): Clarence B. Mills 1991 Irrevocable Trust, William E. Mills 1991 Irrevocable Trust
Claimant Lawyers(s): Alan W. Duncan
Respondent(s): David Robinson, Wachovia Securities Financial Network, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Richard S. Zaifert, Michele Ann Ledo, Theodore Haynes
Hearing Site: Raleigh, NC
| | Expungement |
| 15-02536 | 02/23/2018 | Claimant(s): Angel Cruz Colon, Betzaida Hernandez, Carmen Ortiz Nevarez, Hector Rodriguez-Lopez, Myrna Rivera Marengo, William Reyes
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Nikolas S. Komyati, Roberto C. Quinones-Rivera
Arbitrator(s): James L. Warren, Theodore Haynes, Carol Denise Phelps
Hearing Site: San Juan, PR
| | $521,075 |
| 16-00502 | 11/22/2017 | Claimant(s): B.R. Russell As Cust. for B.& T. Johnson, B&V Russell Rev Liv Trust DTD 12/2/96
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Lauren S. Puritz, Theodore Haynes, Robert G. Bannon
Hearing Site: Orlando, FL
| | Expungement |
| 15-00721 | 10/13/2016 | Claimant(s): Vincent Caposino
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Peter M. Chena
Arbitrator(s): Richard W. Thornburg, Theodore Haynes, Brian Michael Kane
Hearing Site: Jacksonville, FL
| | $0 |
| 14-03427 | 07/13/2015 | Claimant(s): Michael Kuchera
Claimant Lawyers(s): Michael J. Kuchera
Respondent(s): Princor Financial Services Corporation
Respondent Lawyers(s): Rebecca M. Rothmann
Arbitrator(s): Theodore Haynes
Hearing Site: Orlando, FL
| | Dismissed by Rule 12206 |
| 13-01983 | 03/27/2014 | Claimant(s): Barbara Ochs
Claimant Lawyers(s): James A. Scott
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Theodore Haynes
Hearing Site: Orlando, FL
| | $213 |
