| 21-00408 | 11/28/2022 | Claimant(s): Johnathan Short
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): James C. Hoover, Bruce W. Bennett, Eve M Wright
Hearing Site: Atlanta, GA
|  | Expungement |
| 21-02061 | 09/22/2022 | Claimant(s): Sandra Edwards
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | |
| 16-02946 | 08/29/2022 | Claimant(s): David Krunch Kloberdanz
Claimant Lawyers(s): Steven Gomberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Stephen M. Kramarsky
Arbitrator(s): James R. McGuone, James C. Hoover, Jeffrey Prather Adams
Hearing Site: Atlanta, GA
| | |
| 21-00650 | 07/11/2022 | Claimant(s): M. Barnett
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Arkadios Capital
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James C. Hoover, Michael Ryan Peacock, Lakeya Brantley
Hearing Site: Atlanta, GA
| | Expungement |
| 19-01960 | 11/29/2021 | Claimant(s): Claudine Webb
Claimant Lawyers(s): Alex B. Kaufman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): James C. Hoover, John James Rubin, Rebekah Ratliff
Hearing Site: Atlanta, GA
| | $20,000 |
| 20-02509 | 04/05/2021 | Claimant(s): Erik Bjerke
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | |
| 20-03252 | 04/01/2021 | Claimant(s): Gregory Katulka
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Deirdre Wolff, Kathryn D. Perreault
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | |
| 20-02335 | 03/03/2021 | Claimant(s): Bernard Breton
Claimant Lawyers(s): Michael Nagy
Respondent(s): Cetera Advisors
Respondent Lawyers(s): David Feldstein
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | |
| 20-02168 | 12/09/2020 | Claimant(s): B. Riley Wealth Management
Claimant Lawyers(s): Michael Markunas
Respondent(s): Jason Parker
Respondent Lawyers(s): Jason Brent Parker
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | |
| 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 |
