| 21-00408 | 11/28/2022 | Claimant(s): Johnathan Short
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): James C. Hoover, Bruce W. Bennett, Eve M Wright
Hearing Site: Atlanta, GA
|  | Expungement |
| 21-00650 | 07/11/2022 | Claimant(s): M. Barnett
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Arkadios Capital
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James C. Hoover, Michael Ryan Peacock, Lakeya Brantley
Hearing Site: Atlanta, GA
| | Expungement |
| 19-01960 | 11/29/2021 | Claimant(s): Claudine Webb
Claimant Lawyers(s): Alex B. Kaufman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): James C. Hoover, John James Rubin, Rebekah Ratliff
Hearing Site: Atlanta, GA
| | $20,000 |
| 19-03747 | 11/18/2020 | Claimant(s): George Neill, Linda A. Neill
Claimant Lawyers(s): George Neill
Respondent(s): David Miller, Henry Klausman, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart, Stephen D. Councill
Arbitrator(s): James C. Hoover
Hearing Site: Columbia, SC
| | $0 |
| 19-00270 | 08/28/2019 | Claimant(s): Matthew Kilpatrick
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Gregory Crance, OneAmerica Securities.
Respondent Lawyers(s): Emily Sides Bonds, Julie Wilson Portera
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | $300 |
| 18-02624 | 04/19/2019 | Claimant(s): John Davis
Claimant Lawyers(s): John H. Davis
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
| | $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 |
| 17-00321 | 10/20/2017 | Claimant(s): Melissa Dano
Claimant Lawyers(s): Melissa Dano
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Josef Y. Rosen
Arbitrator(s): James P. Kinkade, James C. Hoover, John F. Allgood
Hearing Site: Atlanta, GA
| | $0 |
| 14-03440 | 12/01/2016 | Claimant(s): George and Gloria Brooks
Claimant Lawyers(s): Steven D, Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): George S. Willingham, Harvey R. Linder, James C. Hoover
Hearing Site: Atlanta, GA
| | Expungement |
| 16-00066 | 10/11/2016 | Claimant(s): Mr. Gonzalo Fernandez, Ms. Esther Fernandez
Claimant Lawyers(s): Esther Fernandez, Steven Fernandez
Respondent(s): Alan Gross, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | $300 |
