| 20-01930 | 04/13/2021 | Claimant(s): Ricky Higgins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): ProEquities.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
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| 19-00732 | 03/18/2020 | Claimant(s): James Warfield
Claimant Lawyers(s): Gary J. Rickner
Respondent(s): ICON Advisers., ICON Distributors.
Respondent Lawyers(s): Gregory A. Eurich
Arbitrator(s): Patricia Ann Tracey, Frank Samuel Perri, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
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| 18-00351 | 01/23/2020 | Claimant(s): Samuel Adams
Claimant Lawyers(s): David E Rothstein
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ashley Kutz Kelly
Arbitrator(s): Gregory D. Hoffmann, Patricia Ann Tracey, Bruce W. Bennett
Hearing Site: Columbia, SC
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| 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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| 17-01956 | 09/28/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Richard Humphreys
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Leslie R. Berro, Patricia Ann Tracey, Susan L. Luck
Hearing Site: Charlotte, NC
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| 14-03371 | 03/10/2016 | Claimant(s): John Chapman
Claimant Lawyers(s): Amy Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Patricia Ann Tracey, Mitchell M. Willoughby, John G. Shamp
Hearing Site: Columbia, SC
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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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| 09-03582 | 01/18/2011 | Claimant(s): Jason Schall
Claimant Lawyers(s): Mitchell Willoughby
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Menendez
Arbitrator(s): Glenn R. Oxner, Patricia Ann Tracey, Walter J. Wylie
Hearing Site: Columbia, SC
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| 07-02092 | 01/22/2008 | Claimant(s): Gary Fitzer
Claimant Lawyers(s): Gary A. Fitzer
Respondent(s): A. Burch, J. Corpal, J. Goode, L. Ermel, M. Kudlik, R. Gee, T. Snodgrass, W. Candler, ARI Financial Services., Burch & Company.
Respondent Lawyers(s): Christina Birgensmith, Tucker H. Byrd
Arbitrator(s): John H. Griffing, Patricia Ann Tracey, John E. Baynum
Hearing Site: Charlotte, NC
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