| 14-02593 | 12/16/2015 | Claimant(s): Eric Martin
Claimant Lawyers(s): Alexander Mark Rowland
Respondent(s): Arash Assadzadeh, Wells Fargo Advisors, Louis Ayala
Respondent Lawyers(s): Deidre C. Wolff, Louis Alfonso Ayala, Scott Holcomb
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
|  | $3,600 |
| 14-01491 | 12/07/2015 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): William Pair
Respondent Lawyers(s): William Thomas Pair
Arbitrator(s): Chandler R Bridges, Perry Lee Taylor, Robert H. Putnam
Hearing Site: Atlanta, GA
| | |
| 14-01158 | 11/24/2015 | Claimant(s): Gary Adams
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis
Arbitrator(s): Lita S Menkin, William Barker Brown, J. G. Long
Hearing Site: Atlanta, GA
| | Expungement |
| 13-03624 | 11/16/2015 | Claimant(s): Freddy Holcomb
Claimant Lawyers(s): R. Leslie Waycaster, Jr
Respondent(s): LPL Financial LLC, Michael Fortner
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
| | $37,329 |
| 13-03654 | 11/11/2015 | Claimant(s): Matthew Wood
Claimant Lawyers(s): Steven Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Marian Cover Dockery, Yvette L. Nurse, Brandt Leonard Ross
Hearing Site: Atlanta, GA
| | Expungement |
| 14-02847 | 10/29/2015 | Claimant(s): John Biltgen
Claimant Lawyers(s): Daniel Osborn
Respondent(s): Charles Sheridan, Justin Jenniges, Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | $44,400 |
| 14-01786 | 08/31/2015 | Claimant(s): Uzoma Ogene
Claimant Lawyers(s): Uzoma Ogene
Respondent(s): TD Ameritrade., Jeffrey Plummer
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): James R. McGuone, Bernard Leroy Lynch, James David Askren
Hearing Site: Atlanta, GA
| | |
| 13-01659 | 08/27/2015 | Claimant(s): Raymond DiPaula
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela Turiano
Arbitrator(s): Henry W. Grady, John F. Allgood, Marcia A. Ogilvie
Hearing Site: Atlanta, GA
| | Expungement |
| 14-00732 | 08/20/2015 | Claimant(s): Herschell Allen
Claimant Lawyers(s): John Da Grosa Smith
Respondent(s): James Arnett, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): James R. McGuone, Frances L. Wolff, John D. Mattingly
Hearing Site: Atlanta, GA
| | $0 |
| 14-03382 | 08/18/2015 | Claimant(s): Robert O. Porter and Mary H. Porter Fami
Claimant Lawyers(s): Robert A Prahl
Respondent(s): Wells Fargo Advisors, Laheeb Karana
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | Expungement |
