22-00645 | 11/13/2023 | Claimant(s): Thomas Sowers Claimant Lawyers(s): Thomas S. Sowers Respondent(s): Morgan Stanley, Geoffrey Korwan Respondent Lawyers(s): Gina Shlaferman Arbitrator(s): Jim Geiger, Michael J. Ahlstrom, Todd B. Johnson Hearing Site: Charleston, WV
| | $0 |
23-01687 | 10/20/2023 | Claimant(s): Tiffiney Brittingham Claimant Lawyers(s): Tiffiney Taylor Brittingham Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Greg Scanlon Arbitrator(s): Michael J. Ahlstrom Hearing Site: Birmingham, AL
| | $0 |
23-01472 | 10/17/2023 | Claimant(s): Kurt Mattson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Northwestern Mutual Investment Services, Respondent Lawyers(s): Clarke C. Greene Arbitrator(s): Michael J. Ahlstrom Hearing Site: Atlanta, GA
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23-00110 | 09/29/2023 | Claimant(s): Darryl Fyall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): MSI Financial Services. Respondent Lawyers(s): Martin Harris Arbitrator(s): Michael J. Ahlstrom Hearing Site: Columbia, SC
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23-00057 | 08/04/2023 | Claimant(s): Matthew Kennedy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Invest Financial Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Michael J. Ahlstrom Hearing Site: Nashville, TN
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22-02369 | 07/10/2023 | Claimant(s): Christopher Hagen Claimant Lawyers(s): Joel M. Everest Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Michael J. Ahlstrom Hearing Site: Birmingham, AL
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21-00602 | 07/03/2023 | Claimant(s): Charlotte Baldwin, Rand Baldwin Claimant Lawyers(s): Andrew P. Campbell Respondent(s): Martin Pospicil, Raymond James Financial Services. Respondent Lawyers(s): Jordan D. Maglich, Peter S. Fruin Arbitrator(s): Michael J. Ahlstrom, Jon E Lewis, DeShannon McDonald Hearing Site: Birmingham, AL
| | Expungement |
22-01828 | 06/26/2023 | Claimant(s): Robert Gooden, Tonya Gooden Claimant Lawyers(s): Tonya M. Gooden Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Michael J. Ahlstrom, Cassandra Kimberly Ward, Shaquana Ellison Hearing Site: Atlanta, GA
| | Dissmissed by Rule 12206 |
22-02764 | 06/12/2023 | Claimant(s): Alan Kent Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Michael J. Ahlstrom Hearing Site: Jackson, MS
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22-00857 | 06/08/2023 | Claimant(s): Michael Ballard Claimant Lawyers(s): Chelsea Bauer Respondent(s): Concourse Financial Group Securities, In, G.F. Investment Services Respondent Lawyers(s): Larry W. Yager, Margaret M. Siller Arbitrator(s): Michael J. Ahlstrom Hearing Site: Birmingham, AL
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