| 24-01133 | 11/05/2024 | Claimant(s): Alfred Bunge
Claimant Lawyers(s): Ronald J. Tomassi
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Steven R. Rolnick, Lawrence R. Mills, Neil Harvey Smith
Hearing Site: Boca Raton, FL
| | |
| 24-00773 | 10/02/2024 | Claimant(s): Christopher Gordon
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Lincoln Financial Securities Corporation
Respondent Lawyers(s): Richard E. Ramirez
Arbitrator(s): Peter Ordower, Benjamin F. Breslauer, Neil Harvey Smith
Hearing Site: Baltimore, MD
| | |
| 23-01084 | 02/01/2024 | Claimant(s): Toby Green
Claimant Lawyers(s): Brian Luther
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Neil Harvey Smith
Hearing Site: Nashville, TN
| | |
| 20-01142 | 04/28/2021 | Claimant(s): William Phillips
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc., UBS Financial Services Inc.
Respondent Lawyers(s): Christopher M. Sacco, Omar Perez
Arbitrator(s): Neil Harvey Smith
Hearing Site: Nashville, TN
| | |
| 16-00737 | 02/12/2019 | Claimant(s): R. A. Rosario, for his Retirement Plan
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara Lydia Velez Santiago
Arbitrator(s): Thomas Joseph Atkinson, Jane A. Smith, Neil Harvey Smith
Hearing Site: San Juan, PR
|  | $135,630 |
| 17-01391 | 12/26/2017 | Claimant(s): David Adams
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Neil Harvey Smith, Theodore Haynes, Stephen Edward Cundiff
Hearing Site: Nashville, TN
| | |
| 17-00304 | 10/12/2017 | Claimant(s): Thomas Fields
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons., Wells Fargo Advisors, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, Deirdre Wolff
Arbitrator(s): Neil Harvey Smith
Hearing Site: Nashville, TN
| | |
| 16-02916 | 04/24/2017 | Claimant(s): Gary Harris
Claimant Lawyers(s): Gary G. Harris
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Theodore R. Bynum
Arbitrator(s): Jane A. Smith, Neil Harvey Smith, William Scarr Shefte
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 16-02206 | 01/30/2017 | Claimant(s): Susan Moore
Claimant Lawyers(s): Joel M. Everest
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Neil Harvey Smith
Hearing Site: Birmingham, AL
| | |
| 13-01951 | 10/08/2014 | Claimant(s): Willie Cabbil
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): David Miller, Eileen Fannon, Kelly Miller, Laura Tedball, Resource Horizons Group
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): James Edward Seale, Neil Harvey Smith, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | $355,230 |
