| 17-00666 | 01/26/2018 | Claimant(s): Brett Laferrera
Claimant Lawyers(s): Brett Andrew LaFerrara
Respondent(s): VALIC Financial Advisors.
Respondent Lawyers(s): Michael A. Rollin
Arbitrator(s): Barbara Black, Terresa L. Beaman, Robert N. Kohn
Hearing Site: Birmingham, AL
| | |
| 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
| | |
| 09-02152 | 03/25/2010 | Claimant(s): Gordon Stamper
Claimant Lawyers(s): Gordon D. Stamper
Respondent(s): MML Investors Services.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): James Francis Donovan, Robert N. Kohn, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
| | |
| 08-03949 | 08/26/2009 | Claimant(s): John Holloway
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Meredith M. Thompson
Arbitrator(s): Lawrence M. Oberdank, Mark J. Happe, Robert N. Kohn
Hearing Site: Birmingham, AL
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