| 21-00241 | 06/09/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith Barnett
Respondent(s): Christopher Chance
Respondent Lawyers(s): William R. Carlisle
Arbitrator(s): Samuel Appel
Hearing Site: Atlanta, GA
| | |
| 22-01936 | 05/12/2023 | Claimant(s): Gene Whobrey, Susanne Whobrey
Claimant Lawyers(s): William B. Young
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Charles E. White, Samuel Appel, Olivia Corrie Smith
Hearing Site: Atlanta, GA
|  | Dismissed with Rule 12206 |
| 18-02929 | 03/11/2020 | Claimant(s): Brady Beelman
Claimant Lawyers(s): Brady Ross Beelman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Michael J. Ahlstrom, Henry W. Grady, Samuel Appel
Hearing Site: Atlanta, GA
| | |
| 18-02195 | 06/14/2019 | Claimant(s): David Strickland
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Lewis Vastine Stabler, Samuel Appel, Debra Black Leo
Hearing Site: Birmingham, AL
| | $153,068 |
| 15-03338 | 02/15/2017 | Claimant(s): Thurman Willis
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Daniel E. Gulden, Samuel Appel, Brock Bingham Gordon
Hearing Site: Atlanta, GA
| | $0 |
| 14-02355 | 08/11/2015 | Claimant(s): Carolyn Walker, Danny Townsend, Jackson Walker, Mack Amerson, Martha Westmoreland, Marvel Smith, Merrilynn Teixeira, Richard Smith, Estate of Joan Hendrix, Deceased
Claimant Lawyers(s): John S. Chapman
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Craig H. Kuglar
Arbitrator(s): Perry Lee Taylor, Linda M. Granata, Samuel Appel
Hearing Site: Atlanta, GA
| | $1,282,560 |
| 13-01413 | 08/07/2014 | Claimant(s): Stephen Vaughn
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Deborah A. Jackson, Carol Denise Phelps, Samuel Appel
Hearing Site: Atlanta, GA
| | Expungement |
| 05-04849 | 05/02/2008 | Claimant(s): Donna Wilson, Lavonia Trimble, Madron Wilson, Rick Wilson, Ruth Attaway, Tim Wilson
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): John Conroy, Kevin Brennan, Robert Marcus, Benson York Group.
Respondent Lawyers(s): Charles M. O'Rourke, John J. Conroy, President, Robert Joseph Marcus
Arbitrator(s): Don M. Bieger, W. William Harness, Samuel Appel
Hearing Site: Birmingham, AL
| | $319,894 |
