| 24-00056 | 09/12/2024 | Claimant(s): Ronnie Lee Rozier
Claimant Lawyers(s): Ronnie L. Rozier
Respondent(s): Aubrey Parker, Wells Fargo Clearing Services, Rick Kent
Respondent Lawyers(s): Deirdre C. Wolff, Luis F. Mendez
Arbitrator(s): Robert H. Putnam, Andy W. Morgan, Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
|  | Dismissed by Rule 12504 and 12206 |
| 24-01066 | 08/28/2024 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew DeLucia
Respondent(s): Michael Magruder
Respondent Lawyers(s): Michael Edwin Magruder
Arbitrator(s): Robert H. Putnam
Hearing Site: Birmingham, AL
| | |
| 22-01568 | 05/06/2024 | Claimant(s): Marc Cedarleaf, Patricia Cedarleaf
Claimant Lawyers(s): Matt Williams
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Robert H. Putnam, Dana R. Krajack, William Finley Hamel
Hearing Site: Columbia, SC
| | $125,400 |
| 24-00216 | 04/29/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Howard Graham
Respondent Lawyers(s): Howard Okeefe Graham
Arbitrator(s): Robert H. Putnam
Hearing Site: Jackson, MS
| | |
| 23-01356 | 11/17/2023 | Claimant(s): Craig Accardo
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | |
| 23-00716 | 10/12/2023 | Claimant(s): Colleen Rosenberg Tod
Claimant Lawyers(s): William B. Young
Respondent(s): Cape Securities.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | Expungement |
| 22-02258 | 07/26/2023 | Claimant(s): Ronald Carazo
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Securities America.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Robert H. Putnam, Eric M. Schorr, Ralph Hamilton Schofield
Hearing Site: New Orleans, LA
| | |
| 22-01476 | 02/17/2023 | Claimant(s): Matthew Rose
Claimant Lawyers(s): Kyle Johnson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brendan T. Killeen
Arbitrator(s): Robert H. Putnam
Hearing Site: Nashville, TN
| | |
| 22-00836 | 09/28/2022 | Claimant(s): Aspiration Financial LLC
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Jaylen Eugene
Respondent Lawyers(s): Jaylen Eugene
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | $0 |
| 21-02210 | 06/17/2022 | Claimant(s): Douglas Hillebrandt
Claimant Lawyers(s): Christopher Warren
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Robert H. Putnam
Hearing Site: Norfolk, VA
| | |
