| 17-02422 | 01/14/2020 | Claimant(s): Delores Trupiano, Philip Trupiano, Delores R. Trupiano Rev. Trust, Philip J. Trupiano Rev. Trust
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Beth Debouvre, Christopher Gammon, Kim Kopacka, Timothy Kopacka, IMS Securities.
Respondent Lawyers(s): Beth Ann Debouvre, Jackie Wadsworth, Joseph Suarez, Kim Kahala Kopacka, Timothy James Kopacka
Arbitrator(s): Robert H. Putnam, Harvey R. Linder, Harry G. Mason
Hearing Site: Columbia, SC
|  | $0 |
| 19-00012 | 11/05/2019 | Claimant(s): Wallace Freemon
Claimant Lawyers(s): Benjamin D. Ridings
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Robert H. Putnam, Fred Kelner, Joseph A Newcomb
Hearing Site: Raleigh, NC
| | |
| 17-03474 | 03/29/2019 | Claimant(s): Eleanora Devenish, Robert Devenish
Claimant Lawyers(s): Richard Freeth
Respondent(s): Morgan Stanley, Susan Fry Mamis, Susan Gnall
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Robert H. Putnam, John F. Adcock, Kathryn Elizabeth Schwartz
Hearing Site: Columbia, SC
| | $0 |
| 18-00623 | 03/07/2019 | Claimant(s): Deborah Debow
Claimant Lawyers(s): Ann Marie Fitz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert H. Putnam, Michael J. Ahlstrom, Brock B. Gordon
Hearing Site: Columbia, SC
| | |
| 18-03525 | 03/07/2019 | Claimant(s): Morgan Stanley, Morgan Stanley SB FA Notes Holdings LLC
Claimant Lawyers(s): Gerald D. Davis
Respondent(s): Ross Jordan
Respondent Lawyers(s): Ross Douglass Jordan
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | |
| 17-02206 | 02/01/2019 | Claimant(s): Beryl Patin, Janis Lakin
Claimant Lawyers(s): Nicholas H. Berg
Respondent(s): Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): Robert H. Putnam, Lawrence R. Maxwell, Imre Stephen Szalai
Hearing Site: New Orleans, LA
| | $2,380,660 |
| 18-03399 | 01/22/2019 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Renata L. Sobral
Respondent(s): Timothy Johnson
Respondent Lawyers(s): Timothy Edward Johnson
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | |
| 18-00741 | 10/18/2018 | Claimant(s): Mark Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | |
| 18-00376 | 10/16/2018 | Claimant(s): Marsha Neuenschwander
Claimant Lawyers(s): Marsha M. Neuenschwander
Respondent(s): Elsa Cazares, James Neuenschwander, Michael Neuenschwander
Respondent Lawyers(s): Robert E. Menje
Arbitrator(s): Robert H. Putnam, Michael J. Ahlstrom, Coleman Robert Perry
Hearing Site: Nashville, TN
| | $0 |
| 18-00763 | 08/16/2018 | Claimant(s): Edward Bertram, Marilyn Bertram
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Garland James, Ronald Richer, Garden State Securities.
Respondent Lawyers(s): Garland Sean James, Robert I. Rabinowitz
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
| | $25,600 |
