| 18-01303 | 03/19/2019 | Claimant(s): Mark Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
| | |
| 17-00487 | 11/29/2018 | Claimant(s): Joyce Livengood, Norman Livengood IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Harry G. Mason
Hearing Site: Raleigh, NC
|  | $0 |
| 17-01205 | 10/30/2018 | Claimant(s): Robert Cline
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James A. Hayes, Harry G. Mason, David F. Simon
Hearing Site: Charlotte, NC
| | $127,925 |
| 16-03603 | 06/07/2018 | Claimant(s): Hugh and Amy (Betty) Mitchell
Claimant Lawyers(s): Charles A McCallum
Respondent(s): Brian Anderson, Raymond James Financial Services., Anderson Pewitt & AssociatesL Financial Holdings., Weybridge Capital Partners, GP
Respondent Lawyers(s): Aaron Furniss, Joel M. Everest, Richard Frankowski
Arbitrator(s): Harry G. Mason, J. Wesley Romine, Roslyn Barbee
Hearing Site: Birmingham, AL
| | Expungement |
| 17-02468 | 05/16/2018 | Claimant(s): Erik Weir
Claimant Lawyers(s): Armin Sarabi
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Harry G. Mason
Hearing Site: Columbia, SC
| | |
| 16-03385 | 01/19/2018 | Claimant(s): Richard Ausfahl
Claimant Lawyers(s): John A. Brinkley
Respondent(s): Charles Smith, David Hyman, Gregory Smith, G.L.S. & Associates.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): D. Bruce Shine, Harry G. Mason, Richard K. Smith
Hearing Site: Nashville, TN
| | $0 |
| 16-03173 | 12/05/2017 | Claimant(s): Mary Lee
Claimant Lawyers(s): David P Coates
Respondent(s): Larry George, AXA Advisors, William Evans
Respondent Lawyers(s): Connie M. Anderson, Hector D. Geribon
Arbitrator(s): Michael J. Ahlstrom, Darrell A. Hillis, Harry G. Mason
Hearing Site: Nashville, TN
| | Dismissed by Rule (12200/12201) |
| 16-03434 | 05/24/2017 | Claimant(s): Garry Bridgeman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
| | |
| 14-00176 | 04/19/2016 | Claimant(s): Luis Siaca, New Century Development.
Claimant Lawyers(s): Edward H. Glenn, Marie Elsie Lopez Adames
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Marie G. Peterson, Harry G. Mason, Robert G. Falbisaner
Hearing Site: San Juan, PR
| | Expungement |
| 13-02709 | 03/03/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Douglas Smith
Respondent Lawyers(s): Gregory D. Ellis
Arbitrator(s): Gene E. Carasick, Harry G. Mason, Brian Walsh Devlin
Hearing Site: Atlanta, GA
| | |
