| 18-03985 | 04/14/2022 | Claimant(s): Johana Gerheim, Richard Bucci, Richard Bucci as Cust for Caroline Bucci, Richard Bucci as Cust for Johana A Bucci, Richard Bucci Ameriprise One Financial, Richard Bucci Cash Reserve Certificate, Richard Bucci IRA Strategic Portfolio, Richard Bucci RiverSource Flex Portfolio, Richard Bucci Rollover IRA RiverSource, Richard Bucci Roth Conv IRA 0002461455, Richard Bucci Roth Conv IRA Ameriprise, Richard Bucci Roth Conv IRA RiverSource, Richard Bucci Roth Conv IRA Strategic, Richard Bucci SEP IRA 0002461454 Ameripr, Richard Bucci SEP IRA 0002461454 Strateg, Richard Bucci SEP IRA Ameriprise Brokera, Richard Bucci SEP IRA StrategicPortfolio, Richard Bucci SPS Advantage With One, Richard Bucci MD Living Trust Ameriprise, Richard Bucci MD Living Trust SPS Advant
Claimant Lawyers(s): Charles M Thompson
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Karen Roberts Washington, Orville Barrington Wright, Glenn Ivan Mazer
Hearing Site: Birmingham, AL
|  | Expungement |
| 12-04108 | 10/10/2014 | Claimant(s): John Wellborn
Claimant Lawyers(s): Jonathan E. Newman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Kendall P. Hill, John D. Mattingly, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | $0 |
| 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 |
| 12-01499 | 04/29/2013 | Claimant(s): Joseph Pittman, Robert Dryden, Scott McArthur
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): Gloria J Liddell, Nigel W. Sadd, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | Expungement |
