| 19-00316 | 06/03/2022 | Claimant(s): Peter Dearcangelis
Claimant Lawyers(s): Adriaen M Morse
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Scott A. La Porta
Arbitrator(s): Robert H. Putnam, Frederick R. Benson, Dayne Steven Beam
Hearing Site: Charlotte, NC
| | |
| 21-00975 | 03/07/2022 | Claimant(s): Mesfin Shibeshi
Claimant Lawyers(s): Mesfin Solomon Shibeshi
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert H. Putnam, Peggy Lewis Kennedy, Jeffrey Alperin
Hearing Site: Atlanta, GA
|  | $0 |
| 19-01588 | 12/01/2021 | Claimant(s): Lisa Wavro
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley, Kevin Welsh
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Robert H. Putnam, Mauricio Arcadier, William Finley Hamel
Hearing Site: Columbia, SC
| | Expungement |
| 20-00604 | 11/01/2021 | Claimant(s): James Rader
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Carina Koble
Arbitrator(s): Robert H. Putnam, Yaminah Childress, Jeffrey Kimar Coleman
Hearing Site: Atlanta, GA
| | $194,404 |
| 20-02338 | 10/20/2021 | Claimant(s): Suzanne Spaner
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Robert H. Putnam, Gary J. Leshaw, Arthur Cullen Hammond
Hearing Site: Atlanta, GA
| | Expungement |
| 19-03743 | 05/25/2021 | Claimant(s): Accurate Building Co. LLC
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Four Points Capital Partners LLC
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Robert H. Putnam, Patricia Ann Tracey, Denise Morris Hammond
Hearing Site: Columbia, SC
| | Expungement |
| 19-00280 | 03/04/2021 | Claimant(s): Derek D'Alonzo
Claimant Lawyers(s): Ian E. Smith
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Keith Barnett
Arbitrator(s): Robert H. Putnam, Joel Lee Glasco, Barbara Black
Hearing Site: Atlanta, GA
| | |
| 18-04140 | 06/18/2020 | Claimant(s): Lewis Lester, CU Capital Market Solutions
Claimant Lawyers(s): Steven Lawrence Polk
Respondent(s): Jeremy Colvin, Olden Lane Securities
Respondent Lawyers(s): John D. Coyle
Arbitrator(s): Robert H. Putnam, Alan C. Granath, Brian Francis Pocock
Hearing Site: Atlanta, GA
| | |
| 20-00380 | 05/26/2020 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Todd Paynter
Respondent Lawyers(s): Todd Bogan Paynter
Arbitrator(s): Robert H. Putnam
Hearing Site: Memphis, TN
| | |
| 18-03337 | 05/21/2020 | Claimant(s): Joseph Best
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Timothy Wright, Columbus Advisory Group, Ltd.
Respondent Lawyers(s): Charles M. O'Rourke, Timothy Alan Wright
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | $0 |
