| 14-00001 | 02/26/2015 | Claimant(s): Steven Carlson
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Melanie Black Dubis
Arbitrator(s): Leonard E. Benade, Fred Kelner, Lynda Joyce Howell
Hearing Site: Raleigh, NC
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| 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
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| 13-02762 | 09/08/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Blake L. Daniels
Respondent(s): James Price
Respondent Lawyers(s): James Trent Price
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Raleigh, NC
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| 13-02917 | 04/04/2014 | Claimant(s): Charles Moehrke Jr., Norris Cotton
Claimant Lawyers(s): Charles Henry Moehrke, Norris Gates Cotton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): C. Marcus Harris, Celeste A. Beron, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
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| 13-02960 | 03/11/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Blake L. Daniels
Respondent(s): William Hopkins
Respondent Lawyers(s): William Eric Hopkins
Arbitrator(s): Robert P. Porter
Hearing Site: Raleigh, NC
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| 12-01234 | 01/15/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Robert Brooks
Respondent Lawyers(s): Gilbert J. Andia
Arbitrator(s): John Russell Barlow
Hearing Site: Raleigh, NC
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| 13-01809 | 01/10/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jennifer R. Ewing
Respondent(s): Jason Morgan
Respondent Lawyers(s): Debra Batten Bingham
Arbitrator(s): William F. Julavits
Hearing Site: Raleigh, NC
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| 13-02012 | 01/07/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Walter Bernard
Respondent Lawyers(s): Walter Jeffrey Bernard
Arbitrator(s): Donita M. King
Hearing Site: Raleigh, NC
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| 11-02583 | 12/18/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Adamson Wright, David Lyall
Respondent Lawyers(s): Edward Walton, J. Patrick Haywood
Arbitrator(s): Richard H. Potter
Hearing Site: Raleigh, NC
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