| 16-03721 | 03/07/2018 | Claimant(s): Sterling Huntley
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Apex Clearing Corporation, TradingBlock
Respondent Lawyers(s): Debra A. Jenks, Jonathan D. Neerman
Arbitrator(s): Harvey R. Linder, Deborah Johns Tatum, George Pinckney Shingler
Hearing Site: Atlanta, GA
|  | $0 |
| 17-01869 | 12/01/2017 | Claimant(s): Optionsxpress.
Claimant Lawyers(s): Jonathan D Berg
Respondent(s): Jagdish Agrawal, Sarla Agrawal
Respondent Lawyers(s): Jagdish Agrawal, Sarla Agrawal
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | $0 |
| 16-03459 | 07/20/2017 | Claimant(s): Carl Pritchett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier, Kimberly J. Gustafson
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 17-00178 | 06/28/2017 | Claimant(s): Robert Crumrine
Claimant Lawyers(s): Robert E. Norton
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | $300 |
| 16-03384 | 06/20/2017 | Claimant(s): Brenda Anderson, John Anderson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Jerry McCutchen, Berthel, Fisher & Company Financial Serv, Next Financial Group.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 16-01352 | 01/12/2017 | Claimant(s): Denise Weiss
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
| | $600 |
| 14-03440 | 12/01/2016 | Claimant(s): George and Gloria Brooks
Claimant Lawyers(s): Steven D, Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): George S. Willingham, Harvey R. Linder, James C. Hoover
Hearing Site: Atlanta, GA
| | Expungement |
| 15-00260 | 06/17/2016 | Claimant(s): Aeet.us Inc
Claimant Lawyers(s): Sanjay Saggere
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Harvey R. Linder, M. Scott Holcomb, Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
| | $0 |
| 14-03444 | 06/15/2016 | Claimant(s): Syed Ahmed
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Deborah A. Jackson, Harvey R. Linder, Henry W. Grady
Hearing Site: Atlanta, GA
| | |
| 14-01409 | 08/10/2015 | Claimant(s): Alice Williams
Claimant Lawyers(s): John O'Shea Sullivan
Respondent(s): Christopher Payne, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Sabrina Raquel Scott, Harvey R. Linder, David E. Morris
Hearing Site: Atlanta, GA
| | Expungement |
