| 15-02666 | 04/16/2018 | Claimant(s): Mary Lee Darby Revocable Trust
Claimant Lawyers(s): Allisaon S. Ficken
Respondent(s): William Smith, Sterne Agee Financial Services.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Robert N. Leitch, Jay A Kaplan, Larry Kenneth Lott
Hearing Site: Atlanta, GA
|  | Expungement |
| 16-03721 | 03/07/2018 | Claimant(s): Sterling Huntley
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Apex Clearing Corporation, TradingBlock
Respondent Lawyers(s): Debra A. Jenks, Jonathan D. Neerman
Arbitrator(s): Harvey R. Linder, Deborah Johns Tatum, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | $0 |
| 17-01467 | 02/16/2018 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Amanda Sotak
Respondent(s): David Moore
Respondent Lawyers(s): Otto F. Feil
Arbitrator(s): John F. Allgood
Hearing Site: Atlanta, GA
| | |
| 17-01921 | 02/08/2018 | Claimant(s): Daniel Wildermuth
Claimant Lawyers(s): David M Saperstein
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Williams
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | |
| 17-01885 | 02/07/2018 | Claimant(s): Rebekah Wright
Claimant Lawyers(s): Rebekah Ann Wright
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): W. William Harness
Hearing Site: Atlanta, GA
| | |
| 17-01869 | 12/01/2017 | Claimant(s): Optionsxpress.
Claimant Lawyers(s): Jonathan D Berg
Respondent(s): Jagdish Agrawal, Sarla Agrawal
Respondent Lawyers(s): Jagdish Agrawal, Sarla Agrawal
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | $0 |
| 17-01049 | 12/01/2017 | Claimant(s): R. Mark Castle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Lita S Menkin
Hearing Site: Atlanta, GA
| | |
| 16-01770 | 11/27/2017 | Claimant(s): Philip Evans
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Barry DekreekL Financial LLC
Respondent Lawyers(s): Mickey Wright, Thomas F. Barnett
Arbitrator(s): James R. McGuone, Ronelle W. Genser, Marcia A. Ogilvie
Hearing Site: Atlanta, GA
| | Expungement |
| 17-01468 | 11/15/2017 | Claimant(s): Edward Miller
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | |
| 17-00333 | 11/13/2017 | Claimant(s): Anthony Dye
Claimant Lawyers(s): Jordan D. Maglich
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Lita S Menkin, Royce Alan Burns, Gary J. Leshaw
Hearing Site: Atlanta, GA
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