| 12-03320 | 06/27/2014 | Claimant(s): Susan Dumas
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jason Parker, E*Trade Securities LLC
Respondent Lawyers(s): Jason Charles Parker, Meredith Felde Hoffman
Arbitrator(s): Robert H. Putnam, Constance P. Barr, James David Askren
Hearing Site: Atlanta, GA
|  | $0 |
| 12-01769 | 04/15/2013 | Claimant(s): Joshua Segue
Claimant Lawyers(s): Joshua Pierre Segue
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Gary P. Alexander, Robert H. Putnam, J. G. Long
Hearing Site: Atlanta, GA
| | $0 |
| 11-02009 | 10/22/2012 | Claimant(s): James Lunceford, James D. Lunceford, TTEE
Claimant Lawyers(s): J. Pat Sadler
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): August H. Schupp
Arbitrator(s): Robert H. Putnam, Joe E. Manuel, Brandt Leonard Ross
Hearing Site: Atlanta, GA
| | Expungement |
| 11-02048 | 07/18/2012 | Claimant(s): William Charles Jones
Claimant Lawyers(s): William Charles Jones
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | Expungement |
| 10-05106 | 04/11/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Donald Delahunt, James Vijande
Respondent Lawyers(s): J. Pat Sadler, Todd Ratner
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | |
| 11-04189 | 03/16/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Jeffrey Zachter
Respondent(s): Chane Hazelett
Respondent Lawyers(s): Chane W. Hazelett
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | |
| 11-02896 | 02/24/2012 | Claimant(s): Daniel McCarthy
Claimant Lawyers(s): Dan McCarthy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | $0 |
| 11-01340 | 12/20/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Blake Richards
Respondent Lawyers(s): Blake Bancroft Richards
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | |
| 10-05826 | 12/01/2011 | Claimant(s): Debbie Houston, Laura Lett
Claimant Lawyers(s): J. Michael Bishop
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith J. Barnett
Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Bruce W. Bennett
Hearing Site: Atlanta, GA
| | $130,300 |
| 10-02076 | 11/11/2011 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne K Yannakakis
Respondent(s): David Reneau
Respondent Lawyers(s): Ron S. Iddins
Arbitrator(s): Robert H. Putnam, David K. Weiskircher, Judith Stilz Ogden
Hearing Site: Atlanta, GA
| | |
