| 17-00997 | 07/17/2018 | Claimant(s): John Williams
Claimant Lawyers(s): Ann K. Sullivan
Respondent(s): Mark Stanley, Michael Matthews, Next Financial Group.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Robert H. Putnam, Gordon M. Wase, Donald B. Katz
Hearing Site: Norfolk, VA
|  | $60,000 |
| 18-00027 | 06/07/2018 | Claimant(s): Huy Hoang
Claimant Lawyers(s): Huy Ngoc Hoang
Respondent(s): E*Trade Securities LLC, E*Trade Futures LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | $300 |
| 17-01330 | 05/17/2018 | Claimant(s): Vasileios Sfyris
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): First Southern Securities.
Respondent Lawyers(s): John Holman
Arbitrator(s): Robert H. Putnam, Michael J. Stern, Shawn Barr
Hearing Site: Atlanta, GA
| | |
| 17-03214 | 05/11/2018 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn Diamond Shaw
Respondent(s): Christian Depriest
Respondent Lawyers(s): Christian Patrick Depriest
Arbitrator(s): Robert H. Putnam
Hearing Site: Nashville, TN
| | |
| 17-01921 | 02/08/2018 | Claimant(s): Daniel Wildermuth
Claimant Lawyers(s): David M Saperstein
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Williams
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | |
| 15-01312 | 10/23/2017 | Claimant(s): Navin Barot
Claimant Lawyers(s): Cory Ferraez
Respondent(s): R.F. Lafferty & Co.., Todd Sherman
Respondent Lawyers(s): Richard L. Herzfeld
Arbitrator(s): Gary S. Jefferson, Robert H. Putnam, Eric Spencer Buchanan
Hearing Site: Jackson, MS
| | Expungement |
| 16-03073 | 08/24/2017 | Claimant(s): Kum Kang
Claimant Lawyers(s): Kum Hee Kang
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): James G. Killough, Robert H. Putnam, Leslie D. Mercier
Hearing Site: Atlanta, GA
| | |
| 16-00850 | 06/22/2017 | Claimant(s): John Doster
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Michael Harper, Invest Financial Corporation
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | Expungement |
| 15-02033 | 04/25/2017 | Claimant(s): Steven Hedrick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Robert H. Putnam, Michael E. Weddington
Hearing Site: Raleigh, NC
| | Expungement |
| 15-01223 | 03/29/2017 | Claimant(s): Richard White
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Wells Fargo Securities
Respondent Lawyers(s): Kevin J. Dalton
Arbitrator(s): Robert H. Putnam, David M. Levine, William Finley Hamel
Hearing Site: Charlotte, NC
| | |
