| 18-01876 | 12/19/2018 | Claimant(s): Isaac Brown
Claimant Lawyers(s): Christopher E Thorsen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
| | |
| 17-02221 | 12/18/2018 | Claimant(s): George Porter, George W. Porter, Jr., IRA, Porter Living Trust
Claimant Lawyers(s): Stephen D. Wadsworth
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
|  | $221,663 |
| 15-02079 | 10/23/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): S. Creekbaum
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Debra Black Leo, Charles Lange Clark, Emily Sides Bonds
Hearing Site: Birmingham, AL
| | |
| 17-02145 | 09/25/2018 | Claimant(s): Brett LaFerrera
Claimant Lawyers(s): Brett Andrew LaFerrera
Respondent(s): Albert Johnson
Respondent Lawyers(s): Matthew I. Penfield
Arbitrator(s): Donald Milo Helton, Debra Black Leo, Daniel T. Hull
Hearing Site: Birmingham, AL
| | |
| 18-00396 | 09/24/2018 | Claimant(s): John Roussell
Claimant Lawyers(s): Donald F Winningham
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
| | |
| 16-01495 | 06/28/2018 | Claimant(s): David Holcomb, Ginger Holcomb, Williams Sanders, The Estate of Sam E. Jones III, Ginger
Claimant Lawyers(s): Charles A. McCallum
Respondent(s): Brian Anderson, Anderson Pewitt & Associates., Anderson Pewitt & Associtates. d/b/L Financial Holdings., Weybridge Capital Partners, GP.
Respondent Lawyers(s): Bradley B. Rounsaville, Richard Frankowski
Arbitrator(s): Steven P. Gregory, Constance P. Barr, J. Wesley Romine
Hearing Site: Birmingham, AL
| | Expungement |
| 16-03603 | 06/07/2018 | Claimant(s): Hugh and Amy (Betty) Mitchell
Claimant Lawyers(s): Charles A McCallum
Respondent(s): Brian Anderson, Raymond James Financial Services., Anderson Pewitt & AssociatesL Financial Holdings., Weybridge Capital Partners, GP
Respondent Lawyers(s): Aaron Furniss, Joel M. Everest, Richard Frankowski
Arbitrator(s): Harry G. Mason, J. Wesley Romine, Roslyn Barbee
Hearing Site: Birmingham, AL
| | Expungement |
| 17-02743 | 05/10/2018 | Claimant(s): Michael Warr
Claimant Lawyers(s): Owen Harnett
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Lita S Menkin
Hearing Site: Birmingham, AL
| | |
| 17-00372 | 04/26/2018 | Claimant(s): Terry Watkins, Wanda Watkins
Claimant Lawyers(s): Terry W. Watkins
Respondent(s): James Plaster, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): G. Maynard Green, Lawrence R. Maxwell, J. Wesley Romine
Hearing Site: Birmingham, AL
| | $0 |
| 17-03022 | 04/09/2018 | Claimant(s): Gregory Powell
Claimant Lawyers(s): Joshua D. Jones
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
| | |
