| 15-01431 | 02/07/2017 | Claimant(s): Roger Turner, Roger T. Turner IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Anderson, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Lita S Menkin, David Walton Earle, J. Wesley Romine
Hearing Site: Birmingham, AL
|  | Expungement |
| 16-02206 | 01/30/2017 | Claimant(s): Susan Moore
Claimant Lawyers(s): Joel M. Everest
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Neil Harvey Smith
Hearing Site: Birmingham, AL
| | |
| 16-01352 | 01/12/2017 | Claimant(s): Denise Weiss
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
| | $600 |
| 15-02978 | 11/17/2016 | Claimant(s): Deborah Hawkins, James Hawkins
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William Mann
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | $0 |
| 15-00354 | 09/01/2016 | Claimant(s): Benjamin G. Thompson Family Trust dated
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): John G. Manley, Patricia Best Vital, J. Wesley Romine
Hearing Site: Birmingham, AL
| | Expungement |
| 16-00808 | 08/04/2016 | Claimant(s): Udo Freyhofer
Claimant Lawyers(s): Udo H. Freyhofer
Respondent(s): Jonathon Bult, Fidelity Investments Institutional Srvcs
Respondent Lawyers(s): Deborah Gale Evans
Arbitrator(s): Debra Black Leo
Hearing Site: Birmingham, AL
| | $0 |
| 15-00376 | 07/26/2016 | Claimant(s): Jonathan Byrd, Byrd Sons Residual Trust U/A dated 12/01
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Brent Porges, Craig Taddonio, Nicholas Milano, Zachary Bader, Craig Scott Capital
Respondent Lawyers(s): Brent Porges, Craig Taddonio, Nicholas Milano, Timothy Feil
Arbitrator(s): F. Guthrie Castle, Daniel T. Hull, Robert Gerald Boliek
Hearing Site: Birmingham, AL
| | $252,490 |
| 14-02800 | 07/18/2016 | Claimant(s): Mauris Thompson
Claimant Lawyers(s): Yawanna McDonald
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Daniel T. Hull, Robert Gerald Boliek
Hearing Site: Birmingham, AL
| | Expungement |
| 16-00244 | 07/06/2016 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Arthur King
Respondent Lawyers(s): Arthur Kenneth King
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | |
| 14-02663 | 07/06/2016 | Claimant(s): Shannon Nafaa, Estate of Raymond Ryals
Claimant Lawyers(s): John M. Lassiter
Respondent(s): Morgan Stanley, Linda Ryals, Sun America Annuity & Life Insurance Co.
Respondent Lawyers(s): Brian C. Hale, Michael A Wing, Michael K. Brisbin
Arbitrator(s): John G. Manley, Richard J. Clement, Stephen Edgar Eisenbraun
Hearing Site: Birmingham, AL
| | $0 |
