| 15-03018 | 09/06/2017 | Claimant(s): Bernard Chang, Erich Groos, Ira Shivitz, Jane Groos, Kelly Harwood, Melissa Goodman-Chang, Cornea Consultants of Nashville, PLLC Ca, PLLC Pr, Kelly Harwood Irrevocable Trust
Claimant Lawyers(s): Thomas E. Chase
Respondent(s): LPL Financial LLC, Kenneth Ford, Private Advisory Group.
Respondent Lawyers(s): Amy Worrell Sterling, Michael A Brady
Arbitrator(s): John G. Manley, Richard K. Smith, Robert Lane Arrington
Hearing Site: Nashville, TN
|  | $600 |
| 15-00109 | 02/22/2017 | Claimant(s): Ellie Stoller, Lee Stoller
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): D. Bruce Shine, James A. McIntosh, L. Wilford Fuqua
Hearing Site: Nashville, TN
| | Expungement |
| 15-01675 | 02/10/2017 | Claimant(s): David L. Oldani
Claimant Lawyers(s): Richard Frankowski
Respondent(s): UBS Financial Services Inc., Stewart Anderson
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Nashville, TN
| | $0 |
| 16-01483 | 11/21/2016 | Claimant(s): Al Vaughan, Jr. IRA
Claimant Lawyers(s): David Miller
Respondent(s): LPL Financial LLC, Uvest Financial Services Group.
Respondent Lawyers(s): Amy Worrell Sterling
Arbitrator(s): John P. Cullem
Hearing Site: Nashville, TN
| | Expungement |
| 15-00645 | 08/03/2016 | Claimant(s): Justin Goodbread
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Hugh J. Moore, Dennis Hoyle Owen, Robert Lane Arrington
Hearing Site: Nashville, TN
| | |
| 15-01472 | 07/22/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Jordan D. Maglich
Respondent(s): Gregory Rothery
Respondent Lawyers(s): Scott Matasar
Arbitrator(s): Stuart Sinai, Mimi B. Osiason, Kenneth M. Jackson
Hearing Site: Nashville, TN
| | |
| 13-03010 | 11/10/2015 | Claimant(s): David Crick
Claimant Lawyers(s): H. Naill Falls
Respondent(s): Anastasios Belesis, John Thomas Financial
Respondent Lawyers(s): Anthony C. Varbero, Maria Cummings
Arbitrator(s): Lita S Menkin, Arthur L. Tepper, Leigh Ann Roberts
Hearing Site: Nashville, TN
| | $2,417,500 |
| 15-00812 | 11/09/2015 | Claimant(s): Peggy Faircloth
Claimant Lawyers(s): Peggy Bowden Faircloth
Respondent(s): Stephens
Respondent Lawyers(s): Jana Kim Fowler
Arbitrator(s): Allan Weiss
Hearing Site: Nashville, TN
| | $0 |
| 15-00210 | 10/08/2015 | Claimant(s): Hickman Kite, Katie Kite
Claimant Lawyers(s): Phillip L. Boyd, Robert L. Arrington
Respondent(s): Allyson Reed, Brian Murray, Christopher Belle, Christopher Taylor, Jesse Dietz, Edward Jones
Respondent Lawyers(s): Allyson Louise Reed, Christopher Alan Taylor, Dennis J. Capriglione, Jesse Logan Dietz
Arbitrator(s): Kenneth M. Jackson, Joseph Charles Smolira, Enrico A. Mazzoli
Hearing Site: Nashville, TN
| | Expungement |
| 13-02644 | 09/09/2015 | Claimant(s): Matthew Cason
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): D. Bruce Shine, William T. Bowen, Leigh Ann Roberts
Hearing Site: Nashville, TN
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