21-01866 | 08/16/2023 | Claimant(s): Clifford Capps, Mary Martin, Patricia Capps, Raymond Capps, Terry Wheeler, Wanda Wheeler Claimant Lawyers(s): Courtney C. Gipson Respondent(s): Norman McNeill, McNeill Financial Advisory Respondent Lawyers(s): K. Phillip Luke Arbitrator(s): J. Wesley Romine, Kearney Dee Hutsler, Michael Odom Hearing Site: Birmingham, AL
| | $674,902 |
19-03519 | 08/04/2021 | Claimant(s): Bradford Kittle Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Marvin Kent Speigner, J. Wesley Romine, Emily Sides Bonds Hearing Site: Birmingham, AL
| | $0 |
19-03346 | 08/02/2021 | Claimant(s): Ted Sartin, Ted Sartin IRA Claimant Lawyers(s): Lloyd W. Gathings Respondent(s): TD Ameritrade. Respondent Lawyers(s): Amanda Wright Arbitrator(s): David A. Schuler, J. Wesley Romine, Charles Lange Clark Hearing Site: Birmingham, AL
| | $15,375 |
16-01495 | 06/28/2018 | Claimant(s): David Holcomb, Ginger Holcomb, Williams Sanders, The Estate of Sam E. Jones III, Ginger Claimant Lawyers(s): Charles A. McCallum Respondent(s): Brian Anderson, Anderson Pewitt & Associates., Anderson Pewitt & Associtates. d/b/L Financial Holdings., Weybridge Capital Partners, GP. Respondent Lawyers(s): Bradley B. Rounsaville, Richard Frankowski Arbitrator(s): Steven P. Gregory, Constance P. Barr, J. Wesley Romine Hearing Site: Birmingham, AL
| | Expungement |
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 |
17-00372 | 04/26/2018 | Claimant(s): Terry Watkins, Wanda Watkins Claimant Lawyers(s): Terry W. Watkins Respondent(s): James Plaster, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joel M. Everest Arbitrator(s): G. Maynard Green, Lawrence R. Maxwell, J. Wesley Romine Hearing Site: Birmingham, AL
| | $0 |
15-01431 | 02/07/2017 | Claimant(s): Roger Turner, Roger T. Turner IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): Jonathan Anderson, Morgan Stanley Respondent Lawyers(s): Chan Nam Arbitrator(s): Lita S Menkin, David Walton Earle, J. Wesley Romine Hearing Site: Birmingham, AL
| | Expungement |
15-00354 | 09/01/2016 | Claimant(s): Benjamin G. Thompson Family Trust dated Claimant Lawyers(s): Kristian Kraszewski Respondent(s): LPL Financial LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): John G. Manley, Patricia Best Vital, J. Wesley Romine Hearing Site: Birmingham, AL
| | Expungement |
13-02291 | 04/28/2015 | Claimant(s): Estate of Billie Sue Looney Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Allan Weiss, J. Wesley Romine, Charles Carl Fridlin Hearing Site: Birmingham, AL
| | $0 |
12-01828 | 07/11/2013 | Claimant(s): Edna Thompson, Edna E. Thompson CGM IRA Custodian Claimant Lawyers(s): Charles M. Thompson Respondent(s): Citigroup Global Markets., Morgan Stanley Respondent Lawyers(s): Julie W. Portera, Todd H. Cox Arbitrator(s): Daniel H. Kolber, Donald Milo Helton, J. Wesley Romine Hearing Site: Birmingham, AL
| | Expungement |