| 19-00649 | 10/18/2019 | Claimant(s): Wesley Singleton
Claimant Lawyers(s): Stephan Louviere
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
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| 19-00170 | 10/17/2019 | Claimant(s): Alan Brookshire
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Jason Alexander Diamond
Hearing Site: Charlotte, NC
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| 19-00056 | 08/09/2019 | Claimant(s): Andrew Harding
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 18-04432 | 08/08/2019 | Claimant(s): Christopher Miller
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Cheryl Howard
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 18-03638 | 07/11/2019 | Claimant(s): Melody Juge
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Financial West Group, Corecap Investments.
Respondent Lawyers(s): Gene Valentine, Judith A. Villarreal
Arbitrator(s): Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
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| 19-00008 | 05/31/2019 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Robert Stiles
Respondent Lawyers(s): Robert Louis Stiles
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC
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| 18-03153 | 03/11/2019 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Brandy Pikus
Respondent(s): Steven Dick
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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| 18-02175 | 01/25/2019 | Claimant(s): John Balcerzak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities., World Group Securities.
Respondent Lawyers(s): Clive Slovin, Susan D. Duff
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
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| 17-02500 | 11/30/2018 | Claimant(s): Scott Chamberlain
Claimant Lawyers(s): Scott Dean Chamberlain
Respondent(s): GCG Wealth Management.
Respondent Lawyers(s): M. Robin Davis
Arbitrator(s): Landrum H. Henderson, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
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| 18-00933 | 11/28/2018 | Claimant(s): William Byron
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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