| 20-03145 | 03/31/2021 | Claimant(s): Lee Goodin
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
| | |
| 20-02617 | 03/29/2021 | Claimant(s): Bill Wolfe and Debbie Wolfe
Claimant Lawyers(s): Bill Wolfe
Respondent(s): Amber McCormick, Larry Potts
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
|  | Expungement |
| 20-03080 | 02/05/2021 | Claimant(s): Jeffrey Burton
Claimant Lawyers(s): Clayton B. McCullough
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): John P. Cullem, Richard S. Zaifert, Christopher Cecil Lamb
Hearing Site: Columbia, SC
| | |
| 20-01153 | 12/17/2020 | Claimant(s): Ricky Higgins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Heartland Capital., Proequities.
Respondent Lawyers(s): Jeanne A. Jehle, Katie M. Kimbrell
Arbitrator(s): Richard S. Zaifert
Hearing Site: Columbia, SC
| | |
| 19-02913 | 12/16/2020 | Claimant(s): Maria Redwine
Claimant Lawyers(s): William B. Fleming
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Langfred W. White, Karl A. Vogeler, John Winslow Griesser
Hearing Site: Columbia, SC
| | $167,294 |
| 20-00621 | 11/24/2020 | Claimant(s): Woodford Mooers
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ethan Weinberg
Arbitrator(s): Mimi B. Osiason
Hearing Site: Columbia, SC
| | |
| 20-01449 | 11/20/2020 | Claimant(s): EDWIN WAINGART
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
| | |
| 19-03747 | 11/18/2020 | Claimant(s): George Neill, Linda A. Neill
Claimant Lawyers(s): George Neill
Respondent(s): David Miller, Henry Klausman, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart, Stephen D. Councill
Arbitrator(s): James C. Hoover
Hearing Site: Columbia, SC
| | $0 |
| 20-00902 | 10/27/2020 | Claimant(s): Michael Pearson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christy Boardman
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
| | |
| 20-02017 | 09/22/2020 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Jack Griffith
Respondent Lawyers(s): Jack W. Griffith
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
| | |
