| 19-00316 | 06/03/2022 | Claimant(s): Peter Dearcangelis
Claimant Lawyers(s): Adriaen M Morse
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Scott A. La Porta
Arbitrator(s): Robert H. Putnam, Frederick R. Benson, Dayne Steven Beam
Hearing Site: Charlotte, NC
| | |
| 20-02627 | 05/09/2022 | Claimant(s): Gregory Swindall
Claimant Lawyers(s): Fred B. Monroe
Respondent(s): W&S Brokerage Services.
Respondent Lawyers(s): Nicholas A. Charles
Arbitrator(s): Patricia H. Latham, James Howell Garrison, Norman Lee Gunn
Hearing Site: Charlotte, NC
| | |
| 21-01243 | 03/31/2022 | Claimant(s): Jaime Guevara
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Nicole M. Zito
Arbitrator(s): Tina E. Patterson
Hearing Site: Charlotte, NC
| | |
| 20-03179 | 03/29/2022 | Claimant(s): James Womack
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Robert T. Allen, Robert Neal Hunter, Harvey R. Linder
Hearing Site: Charlotte, NC
| | |
| 21-02148 | 03/02/2022 | Claimant(s): Lisa Hanline
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
| | |
| 21-02488 | 03/02/2022 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Theodore R. Bynum
Respondent(s): Daniel Josey
Respondent Lawyers(s): Daniel Jordan Josey
Arbitrator(s): David Paul Clark
Hearing Site: Charlotte, NC
| | |
| 20-03515 | 02/28/2022 | Claimant(s): Aaron Olson
Claimant Lawyers(s): Thomas Momjian
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Victor L. Hayslip
Arbitrator(s): Frank E. Wolf, Richard E. Miley, Helen Elizabeth Hester
Hearing Site: Charlotte, NC
| | |
| 21-02506 | 02/24/2022 | Claimant(s): Rei-Hou Wang
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Tina E. Patterson, Robert Paul Michaud, Angela C. Schulz
Hearing Site: Charlotte, NC
| | |
| 19-02175 | 02/17/2022 | Claimant(s): Michael Holland
Claimant Lawyers(s): Michael Bessette
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Joyce A. Mitchell, James Howell Garrison, Stephen Edwin Anderson
Hearing Site: Charlotte, NC
| | |
| 20-00511 | 02/10/2022 | Claimant(s): David Thompson
Claimant Lawyers(s): Brian J. Neville
Respondent(s): TD Private Client Wealth
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Leonard E. Benade, Douglas Earl McLaren, Norman Lee Gunn
Hearing Site: Charlotte, NC
| | |
