| 20-03958 | 06/01/2021 | Claimant(s): Jonathan Sard
Claimant Lawyers(s): James P. Galvin
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell
Arbitrator(s): Michael J. Ahlstrom, Judith Stilz Ogden, Brian Francis Pocock
Hearing Site: Atlanta, GA
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| 20-02022 | 04/05/2021 | Claimant(s): Darin Ely
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BI Investments, Infinex Investments.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Norfolk, VA
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| 20-02709 | 04/02/2021 | Claimant(s): Stephen Bush
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 20-00301 | 04/02/2021 | Claimant(s): Kay LaMon
Claimant Lawyers(s): Jeff Goodwyn
Respondent(s): LPL Financial LLC, Richard Dearinger
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Stephen Earl Clark
Hearing Site: Columbia, SC
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| 20-02712 | 03/31/2021 | Claimant(s): Jimmy Barker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
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| 20-02760 | 02/25/2021 | Claimant(s): Robert Smith
Claimant Lawyers(s): Sarah K. Yates
Respondent(s): BBVA Securities.
Respondent Lawyers(s): David S. Neel, Jr.
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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| 20-01198 | 01/20/2021 | Claimant(s): Chesley Morton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): B. Riley Wealth Management
Respondent Lawyers(s): Michael Markunas
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 20-01316 | 01/19/2021 | Claimant(s): Shannon Cotter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 19-02885 | 01/07/2021 | Claimant(s): Judith Thumann
Claimant Lawyers(s): John Da Grosa Smith
Respondent(s): Kevin Larson, Kimberley Holweger, Marcelino Alicea, Cetera Advisors LLC., Financial Fidelity Services.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael J. Ahlstrom, Alan C. Granath, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | Expungement |
| 20-00902 | 10/27/2020 | Claimant(s): Michael Pearson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christy Boardman
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
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