| 19-03049 | 01/19/2021 | Claimant(s): Christopher Bice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
| | |
| 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
| | |
| 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
| | |
| 14-01606 | 12/29/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Jay H. Mintz IRA Rollover, Jay H. Mintz Revocable Trust
Respondent Lawyers(s): William Young
Arbitrator(s): Leonard E. Benade, Timothy J. Wright, Lynne T. Albert
Hearing Site: Raleigh, NC
| | Expungement |
| 14-01579 | 12/23/2014 | Claimant(s): Jonathan Phillips
Claimant Lawyers(s): Gilbert C. Laite
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Lynne T. Albert, Michael J. Henke, Stephen Gregg Ellis
Hearing Site: Raleigh, NC
| | |
| 12-04021 | 06/20/2014 | Claimant(s): George Simon, James Avola, Mark Wesley
Claimant Lawyers(s): George Papp Simon, James Paul Avola, Mark Christopher Wesley
Respondent(s): Bruno Fernandes, Ira Karaba, Apex Clearing Corporation
Respondent Lawyers(s): Charles Devore, Daphne Tippens Chisolm, Ira Scott Karaba
Arbitrator(s): Linda A. Allen, Lynne T. Albert, Matthew J. Hoysa
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 |
| 10-02651 | 05/19/2011 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David Markun
Respondent(s): Robert Shigley
Respondent Lawyers(s): Robert P. Shigley
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | |
| 10-03926 | 04/12/2011 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Michael Lingner
Respondent Lawyers(s): Michael John Lingner
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | |
| 07-02559 | 01/16/2008 | Claimant(s): Gary Fitzer
Claimant Lawyers(s): Gary A. Fitzer
Respondent(s): Douglas Hill, James Weddle, John Bachmann, Merry Mosbacher, Paul Weise, Edward Jones, Hartford Equity Sales Company., Hartford Investment Financial Services, Hartford Securities Distribution Co.
Respondent Lawyers(s): Jennifer M. Blunt, Stephen B. Gillman
Arbitrator(s): Lynne T. Albert, John A. Baynes, Shelly-Ann Natasha Eweka
Hearing Site: Charlotte, NC
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