| 20-01375 | 11/23/2020 | Claimant(s): Steven Howell
Claimant Lawyers(s): Stephan Louviere
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 20-01054 | 11/19/2020 | Claimant(s): Amy Webster
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
| | |
| 16-02887 | 10/16/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Nelson Torrens
Respondent Lawyers(s): Nelson Torrens
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
| | |
| 19-03712 | 10/08/2020 | Claimant(s): Roger Green
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): IFG Network Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | |
| 19-03814 | 09/18/2020 | Claimant(s): Mark Kopkin
Claimant Lawyers(s): J. Michael Bishop
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | |
| 18-03464 | 09/01/2020 | Claimant(s): Paul Valencia
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jennifer W. Persico
Arbitrator(s): Lita S Menkin, Mollie Wagner Neal, Bryan Myerson Ward
Hearing Site: Atlanta, GA
| | |
| 19-02630 | 08/24/2020 | Claimant(s): Triana Waldron
Claimant Lawyers(s): Phillip E. Thompson
Respondent(s): Jonathan Dudley, Centaurus Financial.
Respondent Lawyers(s): Jonathan H Dudley, Mike West
Arbitrator(s): John F. Allgood, David Blair Sinyard, Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
|  | Dismissed |
| 19-03001 | 07/13/2020 | Claimant(s): Wanda Hawk
Claimant Lawyers(s): Wanda C. Hawk
Respondent(s): David Miller, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | $0 |
| 18-04140 | 06/18/2020 | Claimant(s): Lewis Lester, CU Capital Market Solutions
Claimant Lawyers(s): Steven Lawrence Polk
Respondent(s): Jeremy Colvin, Olden Lane Securities
Respondent Lawyers(s): John D. Coyle
Arbitrator(s): Robert H. Putnam, Alan C. Granath, Brian Francis Pocock
Hearing Site: Atlanta, GA
| | |
| 18-03337 | 05/21/2020 | Claimant(s): Joseph Best
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Timothy Wright, Columbus Advisory Group, Ltd.
Respondent Lawyers(s): Charles M. O'Rourke, Timothy Alan Wright
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | $0 |
