| 23-02840 | 07/11/2024 | Claimant(s): Robert Wheeler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
| | |
| 23-02849 | 06/14/2024 | Claimant(s): Gordon Davis
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
| | |
| 23-01143 | 04/18/2024 | Claimant(s): Elizabeth Stancil
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Citizens Investor Services.
Respondent Lawyers(s): Kyle A. Owens
Arbitrator(s): Ian S. Greig
Hearing Site: Raleigh, NC
| | |
| 21-02754 | 01/02/2024 | Claimant(s): Jeffrey Nemesi
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Falcon Square Capital
Respondent Lawyers(s): Paul J. Bazil
Arbitrator(s): Jeffrey R. Brown, Margaret Elizabeth Gee, Danny Lynn Ingram
Hearing Site: Raleigh, NC
| | |
| 22-01753 | 01/27/2023 | Claimant(s): Don Rudolph
Claimant Lawyers(s): James P. Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Michael J. Ahlstrom, Michael J. Pasquale, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
| | |
| 22-00556 | 11/07/2022 | Claimant(s): Michael Patti
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
| | |
| 22-00502 | 10/24/2022 | Claimant(s): Carman Hicks
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard James Igou, Charles Robert Moore, S. M. Kernodle-Hodges
Hearing Site: Raleigh, NC
| | |
| 21-02909 | 05/20/2022 | Claimant(s): Kenneth Nelson
Claimant Lawyers(s): Brian Luther
Respondent(s): Cetera Advisors Llc
Respondent Lawyers(s): David Feldstein
Arbitrator(s): John Winslow Griesser
Hearing Site: Raleigh, NC
| | |
| 20-02797 | 03/14/2022 | Claimant(s): Kenneth Hill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
| | |
| 20-02795 | 07/30/2021 | Claimant(s): Garland Homes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard James Igou
Hearing Site: Raleigh, NC
| | |
