| 20-00549 | 02/27/2021 | Claimant(s): Kevin A. McIntyre Rollover IRA
Claimant Lawyers(s): Kevin A. McIntyre
Respondent(s): Kevin McIntyre, TD Ameritrade.
Respondent Lawyers(s): John Stewart, Kevin A. McIntyre
Arbitrator(s): William Barker Brown, James P. Kinkade, Mollie Wagner Neal
Hearing Site: Atlanta, GA
|  | $0 |
| 20-01540 | 02/26/2021 | Claimant(s): Alison Hawk, Robert Hawk
Claimant Lawyers(s): Robert Frank Hawk
Respondent(s): David Miller, Eric Burnette, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Craig R. Glasser
Arbitrator(s): Richard Jonathan Nikonovich-Kahn
Hearing Site: Atlanta, GA
| | $300 |
| 20-01630 | 02/05/2021 | Claimant(s): Marc Alexander
Claimant Lawyers(s): J. Michael Bishop
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Scott A. Schweber
Hearing Site: Atlanta, GA
| | |
| 20-02672 | 02/03/2021 | Claimant(s): Ralph Barden
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Kristin L. Wynne
Arbitrator(s): Lita S Menkin
Hearing Site: Atlanta, GA
| | |
| 20-02276 | 01/21/2021 | Claimant(s): Linda Willson
Claimant Lawyers(s): Linda Stout Willson
Respondent(s): David Miller, Eric Burnette, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): John F. Allgood
Hearing Site: Atlanta, GA
| | $300 |
| 20-01198 | 01/20/2021 | Claimant(s): Chesley Morton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): B. Riley Wealth Management
Respondent Lawyers(s): Michael Markunas
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | |
| 19-02885 | 01/07/2021 | Claimant(s): Judith Thumann
Claimant Lawyers(s): John Da Grosa Smith
Respondent(s): Kevin Larson, Kimberley Holweger, Marcelino Alicea, Cetera Advisors LLC., Financial Fidelity Services.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael J. Ahlstrom, Alan C. Granath, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | Expungement |
| 20-03098 | 12/23/2020 | Claimant(s): Jeremy Mykulak, Jon Ledoyen
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 20-02168 | 12/09/2020 | Claimant(s): B. Riley Wealth Management
Claimant Lawyers(s): Michael Markunas
Respondent(s): Jason Parker
Respondent Lawyers(s): Jason Brent Parker
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | |
| 20-01140 | 12/01/2020 | Claimant(s): Louis Levenson
Claimant Lawyers(s): Louis Levenson
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): James R. McGuone, Frances L. Wolff, Harvey R. Linder
Hearing Site: Atlanta, GA
| | $0 |
