| 22-02717 | 11/25/2024 | Claimant(s): Jeffrey Hannah
Claimant Lawyers(s): Jeffrey Hannah
Respondent(s): Thomas Hampton, MML Investors Services
Respondent Lawyers(s): Jennifer P. Farrar, Julie E. Ravis
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
|  | Expungement |
| 23-03357 | 05/17/2024 | Claimant(s): Julie Ginn
Claimant Lawyers(s): Julie A. Ginn
Respondent(s): Anne Whelan, Daniel Morato, Wells Fargo Clearing Services
Respondent Lawyers(s): Mark A. Pratzel
Arbitrator(s):
Hearing Site: Birmingham, AL
| | $0 |
| 22-01176 | 02/26/2024 | Claimant(s): Marlin Andrews
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co.., William Humber
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Debra Black Leo, Derry Olive Wilcox, Michael Tryon
Hearing Site: Birmingham, AL
| | $0 |
| 23-01687 | 10/20/2023 | Claimant(s): Tiffiney Brittingham
Claimant Lawyers(s): Tiffiney Taylor Brittingham
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | $0 |
| 22-02881 | 10/05/2023 | Claimant(s): SoFi Securities LLC
Claimant Lawyers(s): Michele R. Underwood
Respondent(s): Steven Bragg
Respondent Lawyers(s): Steven Bragg
Arbitrator(s): David A. Schuler
Hearing Site: Birmingham, AL
| | $0 |
| 21-01866 | 08/16/2023 | Claimant(s): Clifford Capps, Mary Martin, Patricia Capps, Raymond Capps, Terry Wheeler, Wanda Wheeler
Claimant Lawyers(s): Courtney C. Gipson
Respondent(s): Norman McNeill, McNeill Financial Advisory
Respondent Lawyers(s): K. Phillip Luke
Arbitrator(s): J. Wesley Romine, Kearney Dee Hutsler, Michael Odom
Hearing Site: Birmingham, AL
| | $674,902 |
| 22-00145 | 07/18/2023 | Claimant(s): Charles Smith, Selrahc Ltd Partnership
Claimant Lawyers(s): Michael C. Bixby
Respondent(s): Worden Capital Management LLC, Gregory Bodkin, Jamie Worden, Richard Borgner
Respondent Lawyers(s): Charles M. O'Rourke, Jamie John Worden, Richard Reiss Borgner
Arbitrator(s): Mary Elizabeth Skelnik, Derry Olive Wilcox, Blake William Cole
Hearing Site: Birmingham, AL
| | $1,665,500 |
| 21-00602 | 07/03/2023 | Claimant(s): Charlotte Baldwin, Rand Baldwin
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Martin Pospicil, Raymond James Financial Services.
Respondent Lawyers(s): Jordan D. Maglich, Peter S. Fruin
Arbitrator(s): Michael J. Ahlstrom, Jon E Lewis, DeShannon McDonald
Hearing Site: Birmingham, AL
| | Expungement |
| 18-03985 | 04/14/2022 | Claimant(s): Johana Gerheim, Richard Bucci, Richard Bucci as Cust for Caroline Bucci, Richard Bucci as Cust for Johana A Bucci, Richard Bucci Ameriprise One Financial, Richard Bucci Cash Reserve Certificate, Richard Bucci IRA Strategic Portfolio, Richard Bucci RiverSource Flex Portfolio, Richard Bucci Rollover IRA RiverSource, Richard Bucci Roth Conv IRA 0002461455, Richard Bucci Roth Conv IRA Ameriprise, Richard Bucci Roth Conv IRA RiverSource, Richard Bucci Roth Conv IRA Strategic, Richard Bucci SEP IRA 0002461454 Ameripr, Richard Bucci SEP IRA 0002461454 Strateg, Richard Bucci SEP IRA Ameriprise Brokera, Richard Bucci SEP IRA StrategicPortfolio, Richard Bucci SPS Advantage With One, Richard Bucci MD Living Trust Ameriprise, Richard Bucci MD Living Trust SPS Advant
Claimant Lawyers(s): Charles M Thompson
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Karen Roberts Washington, Orville Barrington Wright, Glenn Ivan Mazer
Hearing Site: Birmingham, AL
| | Expungement |
| 21-01805 | 03/21/2022 | Claimant(s): George Gammill
Claimant Lawyers(s): Kenneth H. Looney
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Amanda Saykes
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
| | $9,975 |
