19-01791 | 11/17/2020 | Claimant(s): Mohamad Alhalabi Claimant Lawyers(s): Kristian Kraszewski Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jeffery D. Rodgers, Jr Arbitrator(s): Philip J. Glick Hearing Site: St. Louis, MO
| | Dismissed |
17-02728 | 04/29/2020 | Claimant(s): Audrey Niehoff Claimant Lawyers(s): Laurence Landsman Respondent(s): Jeffrey Berenson, Wells Fargo Clearing Services Respondent Lawyers(s): Jeffery D. Rodgers, Jr Arbitrator(s): Jerome F. Crotty, Raymond P. Buschmann, Marcia Bonita Gevers Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
13-03624 | 11/16/2015 | Claimant(s): Freddy Holcomb Claimant Lawyers(s): R. Leslie Waycaster, Jr Respondent(s): LPL Financial LLC, Michael Fortner Respondent Lawyers(s): Kirsten Patzer Arbitrator(s): John D. Mattingly Hearing Site: Atlanta, GA
| | $37,329 |
14-00418 | 03/16/2015 | Claimant(s): Dorothy Aukofer Claimant Lawyers(s): John P. Connolly Respondent(s): Frederick Baerenz, AOG Wealth Management, Cetera Advisors LLC, Pacific West Securities. Respondent Lawyers(s): Joseph D. Edmondson, Jr, Kate E. DiGeronimo, Shanon Ford Arbitrator(s): Kevin D. Judd, Christopher M. McMurray, Stephen D. Altman Hearing Site: Washington, DC
| | $0 |
11-03762 | 05/28/2013 | Claimant(s): Robert Scott, Family Trust FBO Gregory Scott, Florida Qualified Personal Resident Trus, Gregory Scott Tee of Robert W. Scott, Jr, R. Scott, Jr. Grandchildren Spray Trust Claimant Lawyers(s): Jeffrey Erez Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Julie W. Portera Arbitrator(s): Linda M. Granata, Richard J. Kaplan, Carlos E. Ayala Hearing Site: Ft. Lauderdale, FL
| | Expungement |
07-01912 | 08/11/2008 | Claimant(s): The Estate of Leonard D. Miles,, Marian J. Miles IRA, Leonard D. Miles and Marian J. Miles, Marian J. Miles Family Trust Claimant Lawyers(s): William B. Young Respondent(s): MidSouth Capital. Respondent Lawyers(s): Thomas R. Todd, Jr Arbitrator(s): Brian G. Mooney, Robert L. Hudson, Glenn W. Wheelock Hearing Site: Orlando, FL
| | $225 |