| 16-00659 | 04/06/2017 | Claimant(s): Jon Davidson
Claimant Lawyers(s): James D. Patrick
Respondent(s): Wells Fargo Advisors, Janice Hutson
Respondent Lawyers(s): Keith J. Barnett
Arbitrator(s): Barbara Black, Rudolph Andrew Bata, Robert Ware Killorin
Hearing Site: Atlanta, GA
| | |
| 14-01261 | 05/26/2015 | Claimant(s): Damon O'Rear, Judy O'Rear, Richard O'Rear, Robert O'Rear, O'Rear Grantor Retained Trust
Claimant Lawyers(s): Edwin J. Schklar, Maggie M. Heim
Respondent(s): Christopher Scarborough, Citigroup Global Markets., Herschell Scarborough, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed, David G. Russell
Arbitrator(s): Lita S Menkin, Ronelle W. Genser, Rudolph Andrew Bata
Hearing Site: Atlanta, GA
|  | $0 |
| 12-03853 | 04/07/2015 | Claimant(s): Elba Soler
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tom C. Barnett
Arbitrator(s): Helen E. Huyler, John D. Mattingly, Rudolph Andrew Bata
Hearing Site: Atlanta, GA
| | $95,375 |
| 11-00105 | 05/21/2012 | Claimant(s): Robin Hennessy, Robin Joan Hennessy IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Richard Megorden, IFG/Russell Advisors.
Respondent Lawyers(s): Marianne Johnston
Arbitrator(s): John Russell Barlow, Rudolph Andrew Bata, John G. Shamp
Hearing Site: Charlotte, NC
| | Expungement |
| 10-03166 | 09/27/2011 | Claimant(s): The Estate of Ruth T. Speight
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors Financial Network, Stephen Thomas, Linden Thomas & Co.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): William W. Marchant, Lynne T. Albert, Rudolph Andrew Bata
Hearing Site: Charlotte, NC
| | Expungement |
