| 14-00774 | 06/15/2015 | Claimant(s): Jerry Dean, Jerry Dean IRA, Roth IRA and SEP IRA
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): Mollie Wagner Neal, Sanford S. Finder, Harvey Russell Preston
Hearing Site: Columbia, SC
|  | $122,000 |
| 13-01595 | 03/27/2015 | Claimant(s): Fred Hager, Pat Hager
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Alan Chodosh, Anthony Faustini, David Lerner Associates., David Lerner, John Dempsey, Martin Lerner
Respondent Lawyers(s): Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Sarah G. Anderson, John D. Mattingly, Dana Tait Sandlin
Hearing Site: Columbia, SC
| | Expungement |
| 13-02530 | 01/29/2015 | Claimant(s): Christopher & Jacqueline Stone
Claimant Lawyers(s): Dave Maxfield
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Columbia, SC
| | Expungement |
| 14-01905 | 01/23/2015 | Claimant(s): Securities America.
Claimant Lawyers(s): Christina Heller
Respondent(s): Don Kizer
Respondent Lawyers(s): Don Freeman Kizer
Arbitrator(s): David M. Levine
Hearing Site: Columbia, SC
| | |
| 13-03622 | 12/29/2014 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): John G. McDonald
Respondent(s): Ronald Pyle
Respondent Lawyers(s): Mark A. Nebrig
Arbitrator(s): C. Marcus Harris, M. Bruce Adelberg, Walter J. Wylie
Hearing Site: Columbia, SC
| | |
| 14-01410 | 12/22/2014 | Claimant(s): Edward Kelley
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Karla Y. Vogel
Hearing Site: Columbia, SC
| | $1,786 |
| 11-03225 | 12/03/2014 | Claimant(s): Helen Edgerton
Claimant Lawyers(s): Robert G. Rikard
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Charles F. Boufford, Richard E. Miley, Donald John Andres
Hearing Site: Columbia, SC
| | Expungement |
| 13-00328 | 08/13/2014 | Claimant(s): John Jeffords
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Tina Cundari
Arbitrator(s): Alan L. Berger, John E. Allison, John G. Shamp
Hearing Site: Columbia, SC
| | |
| 14-00211 | 08/13/2014 | Claimant(s): Dwayne Lusk and Susan Lusk
Claimant Lawyers(s): Dwayne G. Lusk
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Chandler R Bridges
Hearing Site: Columbia, SC
| | $75 |
| 13-01545 | 07/16/2014 | Claimant(s): Gloria Kirby, Beneficiary to the Maynard J. Kirby IRA, Gloria M. Kirby IRA
Claimant Lawyers(s): Robert A. Kantas, Ryan Cook
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): John A. Baynes, Stephen P. Hoffman, James Edwin Jackson
Hearing Site: Columbia, SC
| | Expungement |
