| 20-01899 | 02/15/2022 | Claimant(s): Kristi Trowbridge, Stephen Trowbridge
Claimant Lawyers(s): Ross E Webster
Respondent(s): Kestra Investment Services, Llc
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Bill Lamoreaux, Victor L. Hayslip, Charles Lange Clark
Hearing Site: Birmingham, AL
| | |
| 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 |
| 15-02079 | 10/23/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): S. Creekbaum
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Debra Black Leo, Charles Lange Clark, Emily Sides Bonds
Hearing Site: Birmingham, AL
| | |
| 12-03921 | 02/06/2014 | Claimant(s): Bryan Anderson
Claimant Lawyers(s): John G. Dana
Respondent(s): Pruco Securities., Thomas Brannan, The Prudential Insurance Company of Amer
Respondent Lawyers(s): E. Glenn Waldrop, Kevin D. Hofman
Arbitrator(s): Steven P. Gregory, Victor L. Hayslip, Charles Lange Clark
Hearing Site: Birmingham, AL
| | |
| 08-04438 | 07/15/2010 | Claimant(s): Hossein Nilipour
Claimant Lawyers(s): Stephen D. Heninger
Respondent(s): TD Ameritrade., Jim Douglass
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven P. Gregory, Laree Payne Kennedy, Charles Lange Clark
Hearing Site: Birmingham, AL
| | Expungement |
