| 20-02010 | 02/24/2022 | Claimant(s): Marcy Hill, Estate of Judy McClellan
Claimant Lawyers(s): Kira Fonteneau
Respondent(s): Edward Jones, Robert Hickey, Timothy Dolan
Respondent Lawyers(s): Laura A. Pizzitola, Robert D. Hickey
Arbitrator(s): Victor L. Hayslip, Earle J. Schwarz, Marvin Kent Speigner
Hearing Site: Birmingham, AL
|  | Expungement |
| 21-02174 | 01/05/2022 | Claimant(s): Bryan Forstman
Claimant Lawyers(s): David Vermont
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): Jamie John Worden
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Birmingham, AL
| | $7,100 |
| 21-00966 | 11/17/2021 | Claimant(s): Gary Barnes
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Damian Bell, International Assets Advisory, WFG Investments.
Respondent Lawyers(s): Alan M. Wolper, David Williams
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | $0 |
| 21-00596 | 08/16/2021 | Claimant(s): Robert Rendzio
Claimant Lawyers(s): Robert J. Rendzio
Respondent(s): Spiros Stefanatos, Allied Millennial Partners
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
| | $0 |
| 19-03519 | 08/04/2021 | Claimant(s): Bradford Kittle
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marvin Kent Speigner, J. Wesley Romine, Emily Sides Bonds
Hearing Site: Birmingham, AL
| | $0 |
| 19-03346 | 08/02/2021 | Claimant(s): Ted Sartin, Ted Sartin IRA
Claimant Lawyers(s): Lloyd W. Gathings
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): David A. Schuler, J. Wesley Romine, Charles Lange Clark
Hearing Site: Birmingham, AL
| | $15,375 |
| 20-01913 | 06/21/2021 | Claimant(s): Jeremy McDonald
Claimant Lawyers(s): Kyle M Kulzer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda H. Wright
Arbitrator(s): Mark A. Myers, Clarence H. Hampton, Stephanie Hunter
Hearing Site: Birmingham, AL
| | $0 |
| 19-02966 | 05/03/2021 | Claimant(s): Christopher Portante, Karen Portante
Claimant Lawyers(s): Samuel Edwards
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Earle J. Schwarz, James Edward Seale, Geraldine R Daniels
Hearing Site: Birmingham, AL
| | Expungement |
| 20-04030 | 04/20/2021 | Claimant(s): Harvey Langford, Michael Langford
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): AXA Advisors
Respondent Lawyers(s): Johan E. Tatoy
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 18-03366 | 02/26/2020 | Claimant(s): Dianne Hardy, Gary Hardy
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Michael J. Ahlstrom, G. Maynard Green
Hearing Site: Birmingham, AL
| | $0 |
