| 19-00468 | 11/29/2019 | Claimant(s): Michael Hopkins
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
| | |
| 19-01448 | 10/31/2019 | Claimant(s): Joseph Bollinger
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Langfred W. White, Stuart K. Furman, Robert E. Graves
Hearing Site: Jackson, MS
| | |
| 17-02973 | 10/28/2019 | Claimant(s): Bob Pettitt, Brenda Viselli, Christian Harrison, David Wilkins, Elizabeth Hennigan, Elizabeth Ann Maddox, Jerald Harper, John Hayter, Johnny Ray Maddox, Joseph Cage, Michael Cage, Nina Hayter, Pamela White, Patricia Adams, Richard Beach, Roland Toups, Rory White, Susan Cage, Tracy Toups, Galilee Baptist Church, Jerald Harper 401k, Joe Cage IRA, John Hayter 401k, Nina Hayter 401k, Nina Hayter IRA, Pamela White IRA, Rory White IRA, Susan Cage IRA, Dorothy McClamroch Family LP, Charles Clark Pettitt Trust, Michele McDonald Trust FBO Jordan Cage, Michele McDonald Trust FBO Taylor Cage, Paul Gladden Pettitt Trust, Richard Eugene Pettitt Trust, Roy and Ann Fish Family Trust, Christian Service Program Institute
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Raymond, James & Associates., Thomas O'Brien
Respondent Lawyers(s): Stephen H. Kupperman
Arbitrator(s): John P. Cullem, Langfred W. White, Stuart K. Furman
Hearing Site: Jackson, MS
|  | $3,488,930 |
| 19-00288 | 10/11/2019 | Claimant(s): Donald Wojnowski
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
| | |
| 19-00469 | 08/27/2019 | Claimant(s): Sonia Pou
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Stuart K. Furman
Hearing Site: San Juan, PR
| | |
| 18-03090 | 07/29/2019 | Claimant(s): Christopher St. John
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Stuart K. Furman
Hearing Site: Columbia, SC
| | |
| 18-01451 | 03/21/2019 | Claimant(s): Gallina Family Investments
Claimant Lawyers(s): Charles W HIll
Respondent(s): Wells Fargo Clearing Services, Nathan Hooker
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Stuart K. Furman, Earle J. Schwarz, Frank S. Cantrell
Hearing Site: Memphis, TN
| | $0 |
| 16-01409 | 01/29/2019 | Claimant(s): Ana Bared, Luis Bared
Claimant Lawyers(s): Francisco Pujol Meneses, Harold D. Vicente Colon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Stuart K. Furman, Kenneth R. Starr, John Joseph Sullivan
Hearing Site: San Juan, PR
| | Expungement |
| 18-00194 | 12/10/2018 | Claimant(s): Garland Homes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Stuart K. Furman
Hearing Site: Raleigh, NC
| | |
| 18-00966 | 10/23/2018 | Claimant(s): Andrew Adams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Stuart K. Furman
Hearing Site: Jackson, MS
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