| 23-01596 | 07/19/2024 | Claimant(s): Nathan Torgerson
Claimant Lawyers(s): Christopher H Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Renee Bryna Gerstman
Hearing Site: Salt Lake City, UT
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| 22-01119 | 06/11/2024 | Claimant(s): Mark Hebert
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Wells Fargo Securities
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Jonathan B. Gilbert, James Michael Belk, Douglas Alan Lawson
Hearing Site: Charlotte, NC
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| 22-01614 | 05/15/2024 | Claimant(s): Christopher Wienecke
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Yvette Cecilia Hatfield
Hearing Site: Baltimore, MD
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| 21-01326 | 10/26/2022 | Claimant(s): Blynn Masters
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Don Milich, Raymond, James & Associates.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Jeffrey Alperin
Hearing Site: Atlanta, GA
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| 20-00384 | 05/31/2022 | Claimant(s): Paul Rankin
Claimant Lawyers(s): W. Lee Gresham
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): David A. Schuler, Edward David Sonnier, Nadine Michele Ramsey
Hearing Site: New Orleans, LA
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| 20-01977 | 02/11/2022 | Claimant(s): Bryan Montemurro
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Philip J. Glick
Hearing Site: Kansas City, MO
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| 20-01507 | 04/08/2021 | Claimant(s): Michael Morgan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 19-00810 | 02/25/2020 | Claimant(s): David Hunt
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
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| 17-01775 | 11/07/2019 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Carole G. Miller
Respondent(s): James Moore
Respondent Lawyers(s): Elizabeth Zeck
Arbitrator(s): Kenneth J. Daras, Stephen P. Hoffman, Richard Leo King
Hearing Site: Columbia, SC
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| 15-00383 | 03/06/2019 | Claimant(s): Marc Horner
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Mark L Miller, Michael L. Weissman, Wendell White Clancy
Hearing Site: Chicago, IL
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