22-02717 | 11/25/2024 | Claimant(s): Jeffrey Hannah Claimant Lawyers(s): Jeffrey Hannah Respondent(s): Thomas Hampton, MML Investors Services Respondent Lawyers(s): Jennifer P. Farrar, Julie E. Ravis Arbitrator(s): G. Maynard Green Hearing Site: Birmingham, AL
| | Expungement |
24-01066 | 08/28/2024 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Andrew DeLucia Respondent(s): Michael Magruder Respondent Lawyers(s): Michael Edwin Magruder Arbitrator(s): Robert H. Putnam Hearing Site: Birmingham, AL
| | |
24-00747 | 08/16/2024 | Claimant(s): Stonex Advisors., Stonex Securities Inc. Claimant Lawyers(s): Peter J. Tepley Respondent(s): William Hocutt Respondent Lawyers(s): Anne T. Freeland Arbitrator(s): Steven P. Gregory, Ronald Childress, Grace Almanza Phillips Hearing Site: Birmingham, AL
| | |
23-03357 | 05/17/2024 | Claimant(s): Julie Ginn Claimant Lawyers(s): Julie A. Ginn Respondent(s): Anne Whelan, Daniel Morato, Wells Fargo Clearing Services Respondent Lawyers(s): Mark A. Pratzel Arbitrator(s): Hearing Site: Birmingham, AL
| | $0 |
23-01289 | 04/10/2024 | Claimant(s): David Hancock Claimant Lawyers(s): Dochtor Kennedy Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Christopher J. Murdoch Arbitrator(s): Lita S. Menkin Hearing Site: Birmingham, AL
| | |
22-01176 | 02/26/2024 | Claimant(s): Marlin Andrews Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Stifel, Nicolaus & Co.., William Humber Respondent Lawyers(s): Peter S. Fruin Arbitrator(s): Debra Black Leo, Derry Olive Wilcox, Michael Tryon Hearing Site: Birmingham, AL
| | $0 |
23-01687 | 10/20/2023 | Claimant(s): Tiffiney Brittingham Claimant Lawyers(s): Tiffiney Taylor Brittingham Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Greg Scanlon Arbitrator(s): Michael J. Ahlstrom Hearing Site: Birmingham, AL
| | $0 |
22-02881 | 10/05/2023 | Claimant(s): SoFi Securities LLC Claimant Lawyers(s): Michele R. Underwood Respondent(s): Steven Bragg Respondent Lawyers(s): Steven Bragg Arbitrator(s): David A. Schuler Hearing Site: Birmingham, AL
| | $0 |
22-02757 | 09/01/2023 | Claimant(s): Kristi Trowbridge, Steve Trowbridge Claimant Lawyers(s): Zachary T. Hayes-Macaluso Respondent(s): NewBridge Securities Corp. Respondent Lawyers(s): Robert Abrams Arbitrator(s): Earle J. Schwarz Hearing Site: Birmingham, AL
| | |
21-01866 | 08/16/2023 | Claimant(s): Clifford Capps, Mary Martin, Patricia Capps, Raymond Capps, Terry Wheeler, Wanda Wheeler Claimant Lawyers(s): Courtney C. Gipson Respondent(s): Norman McNeill, McNeill Financial Advisory Respondent Lawyers(s): K. Phillip Luke Arbitrator(s): J. Wesley Romine, Kearney Dee Hutsler, Michael Odom Hearing Site: Birmingham, AL
| | $674,902 |