| 11-01784 | 09/11/2012 | Claimant(s): Rollin Park
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Wells Fargo Advisors, Harry Oldham, Robert Haggard
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mollie Wagner Neal, David E. Morris, William Clay Gilbert
Hearing Site: Atlanta, GA
|  | $0 |
| 11-03290 | 08/24/2012 | Claimant(s): Derrell Jones, Jane Jones, Derrell A. Jones Trust
Claimant Lawyers(s): Pat Huddleston
Respondent(s): Wells Fargo Advisors, Steven Baker
Respondent Lawyers(s): Keith J. Barnett
Arbitrator(s): Robert N. Leitch, David E. Morris, Richard Jonathan Nikonovich-Kahn
Hearing Site: Atlanta, GA
| | Stipulated Award and Expungement |
| 11-02793 | 08/08/2012 | Claimant(s): Candice Wind, Mike Wind
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Sabrina Raquel Scott
Hearing Site: Atlanta, GA
| | $30,450 |
| 11-01675 | 08/06/2012 | Claimant(s): Russell King
Claimant Lawyers(s): Scott M. Ratchick
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): J. Rice Ferrelle
Arbitrator(s): Joel Steven Arogeti, Consuelo L. Kertz, James Albert Nofi
Hearing Site: Atlanta, GA
| | |
| 11-01561 | 08/06/2012 | Claimant(s): Daniel Hobart, Daniel James Hobart Rollover IRA
Claimant Lawyers(s): Jason D. Doss
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
| | Expungement |
| 11-00843 | 07/24/2012 | Claimant(s): Scott Strumlauf
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Helen E. Huyler, Robert Allen Fine, Brandt Leonard Ross
Hearing Site: Atlanta, GA
| | Expungement |
| 10-01216 | 07/19/2012 | Claimant(s): Linda Eydt
Claimant Lawyers(s): James C. Cifelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Michael J. Ahlstrom, Joyce F. Glucksman, Harry G. Mason
Hearing Site: Atlanta, GA
| | |
| 11-02048 | 07/18/2012 | Claimant(s): William Charles Jones
Claimant Lawyers(s): William Charles Jones
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | Expungement |
| 12-00287 | 06/28/2012 | Claimant(s): Leslie Turchi
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): Terrance Dewald
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): J. Kirkland Grant, Alice J. Johnson, Michael Lloyd Weisel
Hearing Site: Atlanta, GA
| | Expungement |
| 10-05020 | 06/20/2012 | Claimant(s): Raymond Kowalewski
Claimant Lawyers(s): Charles M. Dalziel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Matthew Simpson
Arbitrator(s): Daniel E. Gulden, Joyce F. Glucksman, Robert Payne Koven
Hearing Site: Atlanta, GA
| | |
