| 15-03014 | 09/26/2016 | Claimant(s): Todd Schwendiman
Claimant Lawyers(s): Todd Gary Schwendiman
Respondent(s): Alternative Asset Investment Management
Respondent Lawyers(s): Victor Park
Arbitrator(s): Robert N. Leitch
Hearing Site: Charlotte, NC
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| 15-00660 | 08/30/2016 | Claimant(s): Casey Sutton
Claimant Lawyers(s): Robert A. Bracken
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Lorie E. Almon
Arbitrator(s): Stephen P. Hoffman, Michael C. Wittenberg, CPF, CLU, ChFC, Lisa Bass Morris
Hearing Site: Charlotte, NC
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| 15-01806 | 01/07/2016 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn D. Shaw
Respondent(s): Cynthia Wadkinson
Respondent Lawyers(s): Cynthia Lynn Wadkinson
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
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| 14-02886 | 09/21/2015 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Mason G. Alexander
Respondent(s): Robert Dull
Respondent Lawyers(s): David R. Payne
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
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| 15-00588 | 08/12/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Demian J. Betz
Respondent(s): Brian Peters
Respondent Lawyers(s): Brian David Peters
Arbitrator(s): Donald B. Vaden
Hearing Site: Charlotte, NC
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| 13-02520 | 03/04/2015 | Claimant(s): Terry Hollar
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Michael Gerken, Stephen Molen, Thrivent Investment Management Inc.
Respondent Lawyers(s): Eric Martin
Arbitrator(s): C. Marcus Harris, James F. Major, David M. Finkel
Hearing Site: Charlotte, NC
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| 14-01537 | 12/11/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Claudie Johnson
Respondent Lawyers(s): Claudie Johnson
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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| 13-03494 | 08/19/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Joseph L. Gordon
Respondent(s): Michael Climer
Respondent Lawyers(s): Michael Wayne Climer
Arbitrator(s):
Hearing Site: Charlotte, NC
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| 13-01425 | 07/15/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): R. Rhett Owens
Respondent(s): Matthew Burns
Respondent Lawyers(s): Matthew Alan Burns
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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| 12-04258 | 07/14/2014 | Claimant(s): David Clinard
Claimant Lawyers(s): Jeffrey E. Livingston
Respondent(s): Edward Jones
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Patricia Ann Tracey, David M. Pierce, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
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