| 15-00341 | 12/15/2017 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Nathaniel L. Prosser
Respondent(s): Michael Camferdam
Respondent Lawyers(s): Kimberly Chavers
Arbitrator(s): Karla Y. Vogel, Clarence H. Hampton, Eva Lee Johnson
Hearing Site: Birmingham, AL
|  | $0 |
| 17-00197 | 06/30/2017 | Claimant(s): David Kaplan, Nedra Kaplan
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Aaron Hattem, Stifel, Nicolaus & Co.., Neil Hattem
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | $300 |
| 16-03384 | 06/20/2017 | Claimant(s): Brenda Anderson, John Anderson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Jerry McCutchen, Berthel, Fisher & Company Financial Serv, Next Financial Group.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 16-03568 | 05/23/2017 | Claimant(s): Jack Shewmake
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Bryce Willis, Terry Bagwell, MetLife Securities Inc.
Respondent Lawyers(s): Kathryn R. Eldridge, Mickey B. Wright, Paul M. James
Arbitrator(s): Karen Roberts Washington, Debra Black Leo, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 15-01431 | 02/07/2017 | Claimant(s): Roger Turner, Roger T. Turner IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Anderson, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Lita S Menkin, David Walton Earle, J. Wesley Romine
Hearing Site: Birmingham, AL
| | Expungement |
| 16-01352 | 01/12/2017 | Claimant(s): Denise Weiss
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
| | $600 |
| 15-02978 | 11/17/2016 | Claimant(s): Deborah Hawkins, James Hawkins
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William Mann
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | $0 |
| 15-00354 | 09/01/2016 | Claimant(s): Benjamin G. Thompson Family Trust dated
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): John G. Manley, Patricia Best Vital, J. Wesley Romine
Hearing Site: Birmingham, AL
| | Expungement |
| 16-00808 | 08/04/2016 | Claimant(s): Udo Freyhofer
Claimant Lawyers(s): Udo H. Freyhofer
Respondent(s): Jonathon Bult, Fidelity Investments Institutional Srvcs
Respondent Lawyers(s): Deborah Gale Evans
Arbitrator(s): Debra Black Leo
Hearing Site: Birmingham, AL
| | $0 |
| 15-00376 | 07/26/2016 | Claimant(s): Jonathan Byrd, Byrd Sons Residual Trust U/A dated 12/01
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Brent Porges, Craig Taddonio, Nicholas Milano, Zachary Bader, Craig Scott Capital
Respondent Lawyers(s): Brent Porges, Craig Taddonio, Nicholas Milano, Timothy Feil
Arbitrator(s): F. Guthrie Castle, Daniel T. Hull, Robert Gerald Boliek
Hearing Site: Birmingham, AL
| | $252,490 |
