| 16-03589 | 10/04/2017 | Claimant(s): William Danzell
Claimant Lawyers(s): William Bordon Danzell
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): James C. Hoover
Hearing Site: Columbia, SC
| | |
| 15-03224 | 08/09/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Michael H. Gibson
Respondent(s): Gregory Fisher, Nelleen Smith, Jefferies LLC
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Richard V. McGalliard, James C. Hoover, Richard Jonathan Nikonovich-Kahn
Hearing Site: Atlanta, GA
| | |
| 16-00169 | 04/07/2017 | Claimant(s): Sylvia Gort
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Chandler R. Bridges, Deborah A. Jackson, James C. Hoover
Hearing Site: Atlanta, GA
| | |
| 14-03440 | 12/01/2016 | Claimant(s): George and Gloria Brooks
Claimant Lawyers(s): Steven D, Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): George S. Willingham, Harvey R. Linder, James C. Hoover
Hearing Site: Atlanta, GA
|  | Expungement |
| 16-00066 | 10/11/2016 | Claimant(s): Mr. Gonzalo Fernandez, Ms. Esther Fernandez
Claimant Lawyers(s): Esther Fernandez, Steven Fernandez
Respondent(s): Alan Gross, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | $300 |
| 14-02981 | 06/17/2016 | Claimant(s): Jeffrey Atcheson, Jeffrey Atcheson IRA
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Bryan Mazliach, Jonothon Lieberman, Rockwell Global Capital LLC
Respondent Lawyers(s): Gregory W. Brown, Robert M. Bursky
Arbitrator(s): Gary P. Alexander, Robert L. Lestina, James C. Hoover
Hearing Site: Atlanta, GA
| | $0 |
| 15-00072 | 03/09/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Christopher Smith
Respondent Lawyers(s): Christopher Ray Smith
Arbitrator(s): Nigel W. Sadd, James C. Hoover, Robert N. Kohn
Hearing Site: Birmingham, AL
| | |
| 14-03522 | 11/24/2015 | Claimant(s): James Johnson, Sara Johnson
Claimant Lawyers(s): James R. Johnson
Respondent(s): Keith Holland, Morgan Stanley, Ricardo Desoto
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): James C. Hoover
Hearing Site: Charlotte, NC
| | $70 |
| 14-02847 | 10/29/2015 | Claimant(s): John Biltgen
Claimant Lawyers(s): Daniel Osborn
Respondent(s): Charles Sheridan, Justin Jenniges, Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | $44,400 |
| 14-01064 | 07/02/2015 | Claimant(s): Barbara McGouirk, Catherine Leeman, Vickie Leeman, Leeman Architectural Woodwork, Leeman Construction Company., Leeman Installation Inc.
Claimant Lawyers(s): Alan R. Perry
Respondent(s): BB&T Securities
Respondent Lawyers(s): Brian M. Walsh
Arbitrator(s): Joe E. Manuel, James C. Hoover, John F. O'Neill
Hearing Site: Atlanta, GA
| | $226,978 |
