| 17-01354 | 02/20/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): John Kelley
Respondent Lawyers(s): John R. Kelley
Arbitrator(s): Steven P. Gregory, David A. Schuler, Brock B. Gordon
Hearing Site: Birmingham, AL
|  | Expungement |
| 16-01328 | 02/15/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Taylor
Respondent Lawyers(s): James Crosby Taylor
Arbitrator(s): Robert A. Dean, James L. Warren, John Andrew Johnson
Hearing Site: Birmingham, AL
| | |
| 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
| | |
| 16-03580 | 01/08/2018 | Claimant(s): William Jones
Claimant Lawyers(s): Edwin Glenn Waldrop
Respondent(s): David Searcy, Morgan Stanley
Respondent Lawyers(s): Peter S. Fruin, Todd H. Cox
Arbitrator(s): Lawrence R. Maxwell, Matthew Reid Krell, Cynthianther May
Hearing Site: Birmingham, AL
| | $79,370 |
| 15-00341 | 12/15/2017 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Nathaniel L. Prosser
Respondent(s): Michael Camferdam
Respondent Lawyers(s): Kimberly Chavers
Arbitrator(s): Karla Y. Vogel, Clarence H. Hampton, Eva Lee Johnson
Hearing Site: Birmingham, AL
| | $0 |
| 16-03709 | 11/14/2017 | Claimant(s): Jennifer Grant
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
| | |
| 17-00197 | 06/30/2017 | Claimant(s): David Kaplan, Nedra Kaplan
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Aaron Hattem, Stifel, Nicolaus & Co.., Neil Hattem
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | $300 |
| 16-03384 | 06/20/2017 | Claimant(s): Brenda Anderson, John Anderson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Jerry McCutchen, Berthel, Fisher & Company Financial Serv, Next Financial Group.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 16-03568 | 05/23/2017 | Claimant(s): Jack Shewmake
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Bryce Willis, Terry Bagwell, MetLife Securities Inc.
Respondent Lawyers(s): Kathryn R. Eldridge, Mickey B. Wright, Paul M. James
Arbitrator(s): Karen Roberts Washington, Debra Black Leo, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 16-00917 | 05/02/2017 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Dudley Dupuis, Wells Fargo Advisors, Llc
Respondent Lawyers(s): Victor Hayslip
Arbitrator(s): Steven P. Gregory, Mark A. Myers, James L. Warren
Hearing Site: Birmingham, AL
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