| 12-03981 | 05/31/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Steven P. Pherson
Respondent(s): James Hansberger
Respondent Lawyers(s): James Clyde Hansberger
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | |
| 11-04310 | 05/21/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Thomas Moore
Respondent Lawyers(s): Thomas Chapley Moore
Arbitrator(s): Stephen P. Hoffman, Charles Sydnor Thompson, David M. Finkel
Hearing Site: Charlotte, NC
| | |
| 12-00742 | 10/17/2012 | Claimant(s): Ronald Raines
Claimant Lawyers(s): Stephen M. Cox
Respondent(s): Eli Cantrell, Grace Cantrell
Respondent Lawyers(s): Eli Cantrell, Grace E Cantrell
Arbitrator(s): Jack C. Aycock, Lynne T. Albert, Laura A. Ledford
Hearing Site: Charlotte, NC
| | Expungement |
| 11-02235 | 09/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jamie S. Schwedler
Respondent(s): Gregory Davis
Respondent Lawyers(s): Gregory Wayne Davis
Arbitrator(s): Alan L. Berger
Hearing Site: Charlotte, NC
| | |
| 10-01399 | 07/12/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Andrew Park
Respondent(s): Gary Collins
Respondent Lawyers(s): Gary Collins
Arbitrator(s): Stephen P. Hoffman, Joe Carroll Thomas, Wesley M. Walker
Hearing Site: Charlotte, NC
| | |
| 11-01876 | 06/06/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): George Doughton
Respondent Lawyers(s): Thomas J. Doughton
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | |
| 10-04930 | 05/02/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Robbins
Respondent Lawyers(s): Anthony D. Robbins
Arbitrator(s): Lester Neal Ellis
Hearing Site: Charlotte, NC
| | |
| 11-01450 | 03/16/2012 | Claimant(s): Cynthia Harman
Claimant Lawyers(s): John B. Veach
Respondent(s): Edward Jones
Respondent Lawyers(s): James B. Spears
Arbitrator(s): Richard E. Miley, Celeste A. Beron, Richard Timothy Curran
Hearing Site: Charlotte, NC
| | |
| 09-06999 | 09/26/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Marc Perkins
Respondent Lawyers(s): Marc Perkins
Arbitrator(s): Donald B. Vaden
Hearing Site: Charlotte, NC
| | |
| 10-04555 | 09/19/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Thomas Akins
Respondent Lawyers(s): F. Scott Pfeiffer
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
| | |
