21-00243 | 03/24/2023 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Keith J. Barnett Respondent(s): Jaylon Ellison Respondent Lawyers(s): William R. Carlisle Arbitrator(s): Michael J. Ahlstrom Hearing Site: Atlanta, GA
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21-00880 | 03/20/2023 | Claimant(s): Calvin Cross, Chareka Cross Claimant Lawyers(s): Paul J. Pontrelli Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sonia Balfour-Fears Respondent Lawyers(s): Keith Olin Arbitrator(s): Michael J. Ahlstrom, Gwendolyn C. Walker Hearing Site: Atlanta, GA
| | Expungement |
19-02624 | 03/09/2023 | Claimant(s): Forrest Sweat, Susan Sweat, Forrest W. Sweat Jr SEP-IRA, Forrest W. Sweat Jr. Roth IRA, Forrest w. Sweat, Jr. Traditional IRA, Susan D Sweat Roth IRA, Susan D. Sweat Traditional IRA, Susan/Forrrest Sweat JROS WOD Claimant Lawyers(s): Charles M Dalziel Respondent(s): Anthony Mesquit, Fidelity Brokerage Services LLC Respondent Lawyers(s): Peter S. Fruin Arbitrator(s): Michael J. Ahlstrom, J.G. Long, William L. Rittenberg Hearing Site: Atlanta, GA
| | $0 |
22-01753 | 01/27/2023 | Claimant(s): Don Rudolph Claimant Lawyers(s): James P. Galvin Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kelsey Vasko Arbitrator(s): Michael J. Ahlstrom, Michael J. Pasquale, Paul Nicholas Inserra Hearing Site: Raleigh, NC
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22-01659 | 01/11/2023 | Claimant(s): Margaret Wiley Claimant Lawyers(s): Bryan Ward Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Edward R. Hipp, Michael J. Ahlstrom, John D. Mattingly Hearing Site: Norfolk, VA
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21-01391 | 12/13/2022 | Claimant(s): Christine Bourdelais Claimant Lawyers(s): Christine Callie Bourdelais Respondent(s): NYLife Securities LLC, NY Life Insurance Company of Arizona, New York Life Insurance & Annuity Corp., New York Life Insurance Company Respondent Lawyers(s): Christopher J. Murdoch Arbitrator(s): Michael J. Ahlstrom, Lawrence M. Barnes, Catherine Esther Bocskor Hearing Site: Norfolk, VA
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22-00861 | 11/29/2022 | Claimant(s): Michael Ballard Claimant Lawyers(s): Chelsea Bauer Respondent(s): Madison Avenue Securities Respondent Lawyers(s): Bradley Ziegler Arbitrator(s): Michael J. Ahlstrom Hearing Site: Birmingham, AL
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22-00321 | 11/09/2022 | Claimant(s): Larry Tolbert Claimant Lawyers(s): Dochtor Kennedy Respondent(s): FSC Securities Corporation, Sagepoint Financial., MSI Financial Services. Respondent Lawyers(s): James V. Noblett, Martin Harris Arbitrator(s): Michael J. Ahlstrom Hearing Site: Memphis, TN
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22-01726 | 11/08/2022 | Claimant(s): Brent Lane Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Michael J. Ahlstrom Hearing Site: Atlanta, GA
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20-02368 | 11/08/2022 | Claimant(s): Helen Shelly, Jerry Shelly Claimant Lawyers(s): Scott L. Silver Respondent(s): Arkadios Capital, Triad Advisors LLC Respondent Lawyers(s): Greg Curley, Peter B. King Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Bernadette F. Rasmussen Hearing Site: Columbia, SC
| | Expungement |