| 14-00732 | 08/20/2015 | Claimant(s): Herschell Allen
Claimant Lawyers(s): John Da Grosa Smith
Respondent(s): James Arnett, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): James R. McGuone, Frances L. Wolff, John D. Mattingly
Hearing Site: Atlanta, GA
|  | $0 |
| 12-03853 | 04/07/2015 | Claimant(s): Elba Soler
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tom C. Barnett
Arbitrator(s): Helen E. Huyler, John D. Mattingly, Rudolph Andrew Bata
Hearing Site: Atlanta, GA
| | $95,375 |
| 13-01595 | 03/27/2015 | Claimant(s): Fred Hager, Pat Hager
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Alan Chodosh, Anthony Faustini, David Lerner Associates., David Lerner, John Dempsey, Martin Lerner
Respondent Lawyers(s): Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Sarah G. Anderson, John D. Mattingly, Dana Tait Sandlin
Hearing Site: Columbia, SC
| | Expungement |
| 13-02739 | 02/02/2015 | Claimant(s): Edward Kraus, Sandra Kraus
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Carlos Dominguez, Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff, Walter L. Baumgardner
Arbitrator(s): Judith Stilz Ogden, John D. Mattingly, Yvette L. Nurse
Hearing Site: Atlanta, GA
| | Expungement |
| 13-00670 | 10/24/2014 | Claimant(s): Tunde Oladunni
Claimant Lawyers(s): Glenn A. Delk
Respondent(s): Wells Fargo Advisors, Keith Spelmon
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
| | Expungement |
| 12-04108 | 10/10/2014 | Claimant(s): John Wellborn
Claimant Lawyers(s): Jonathan E. Newman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Kendall P. Hill, John D. Mattingly, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | $0 |
| 13-02560 | 07/15/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Derek D'alonzo
Respondent Lawyers(s): Derek Rudolf D'alonzo
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
| | |
| 12-04185 | 03/06/2014 | Claimant(s): Nicholas Methven
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): American Portfolios Financial Services
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): W. William Harness, John D. Mattingly, Wallace T. Tanksley
Hearing Site: Atlanta, GA
| | Expungement |
| 13-02172 | 12/05/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Mark McNew
Respondent Lawyers(s): Mark McNew
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
| | |
| 13-00696 | 09/12/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher Griesmeyer
Respondent(s): David Van Rensselaer
Respondent Lawyers(s): David Van Rensselaer
Arbitrator(s): John D. Mattingly
Hearing Site: Columbia, SC
| | |
