| 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 |
| 20-01401 | 07/13/2021 | Claimant(s): Raymond James Financial Services., Raymond James Financial Services Advisor
Claimant Lawyers(s): Robert Jamieson
Respondent(s): William Hocutt
Respondent Lawyers(s): Anne T. Freeland
Arbitrator(s): Barbara Black, Clarence H. Hampton, Howard Moss Miles
Hearing Site: Birmingham, AL
| | |
| 17-03201 | 07/06/2021 | Claimant(s): Curtis Broom, Joseph Moore
Claimant Lawyers(s): Andrew Allen
Respondent(s): AXA Advisors, AXA Network LLC
Respondent Lawyers(s): Matthew I. Penfield
Arbitrator(s): Fern H Singer
Hearing Site: Birmingham, AL
| | |
| 20-01913 | 06/21/2021 | Claimant(s): Jeremy McDonald
Claimant Lawyers(s): Kyle M Kulzer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda H. Wright
Arbitrator(s): Mark A. Myers, Clarence H. Hampton, Stephanie Hunter
Hearing Site: Birmingham, AL
| | $0 |
| 20-02679 | 06/11/2021 | Claimant(s): Susan Moore
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
| | |
| 20-02800 | 05/21/2021 | Claimant(s): Ying Zhao
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
| | |
| 19-02966 | 05/03/2021 | Claimant(s): Christopher Portante, Karen Portante
Claimant Lawyers(s): Samuel Edwards
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Earle J. Schwarz, James Edward Seale, Geraldine R Daniels
Hearing Site: Birmingham, AL
| | Expungement |
| 20-03217 | 04/28/2021 | Claimant(s): William Hocutt
Claimant Lawyers(s): Anne T. Freeland
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | |
| 20-04030 | 04/20/2021 | Claimant(s): Harvey Langford, Michael Langford
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): AXA Advisors
Respondent Lawyers(s): Johan E. Tatoy
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 20-03042 | 04/09/2021 | Claimant(s): David Golson
Claimant Lawyers(s): Sarah K. Yates
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Robert J. Gregory
Hearing Site: Birmingham, AL
| | |
