| 18-03825 | 12/17/2019 | Claimant(s): Walter Bogart
Claimant Lawyers(s): Kyle Kulzer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Columbia, SC
|  | $0 |
| 17-01775 | 11/07/2019 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Carole G. Miller
Respondent(s): James Moore
Respondent Lawyers(s): Elizabeth Zeck
Arbitrator(s): Kenneth J. Daras, Stephen P. Hoffman, Richard Leo King
Hearing Site: Columbia, SC
| | |
| 19-00472 | 11/04/2019 | Claimant(s): Eric Vogen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
| | |
| 19-00473 | 10/01/2019 | Claimant(s): Eric Vogen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
| | |
| 18-03090 | 07/29/2019 | Claimant(s): Christopher St. John
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Stuart K. Furman
Hearing Site: Columbia, SC
| | |
| 17-02119 | 07/17/2019 | Claimant(s): Matthew Maerz
Claimant Lawyers(s): Matthew Richard Maerz
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Muriel Desloovere, Alan E. Linden, H Russell Preston
Hearing Site: Columbia, SC
| | $0 |
| 18-03041 | 06/13/2019 | Claimant(s): Joseph Schofield
Claimant Lawyers(s): Jennifer A. Lesny Fleming
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
| | |
| 17-03474 | 03/29/2019 | Claimant(s): Eleanora Devenish, Robert Devenish
Claimant Lawyers(s): Richard Freeth
Respondent(s): Morgan Stanley, Susan Fry Mamis, Susan Gnall
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Robert H. Putnam, John F. Adcock, Kathryn Elizabeth Schwartz
Hearing Site: Columbia, SC
| | $0 |
| 18-00623 | 03/07/2019 | Claimant(s): Deborah Debow
Claimant Lawyers(s): Ann Marie Fitz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert H. Putnam, Michael J. Ahlstrom, Brock B. Gordon
Hearing Site: Columbia, SC
| | |
| 17-01987 | 12/14/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel Mauch
Respondent(s): Richard Hartnett
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Jack A. Helms
Hearing Site: Columbia, SC
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