| 23-00946 | 06/04/2024 | Claimant(s): Jasmin Gentling, Peter Gentling
Claimant Lawyers(s): John B Veach
Respondent(s): John Wolf, Cornerstone Financial Planning
Respondent Lawyers(s): Elizabeth L. Winters
Arbitrator(s): Richard H. Potter, Charles L.A. Terreni, Silvia Maria Rossbach Rheinbolt
Hearing Site: Charlotte, NC
|  | $613,825 |
| 23-02226 | 03/11/2024 | Claimant(s): Nancy Littlefield, Stanley Littlefield, Nancy Littlefield IRA, Stanley Littlefield IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Triad Advisors LLC, Michael Hensley
Respondent Lawyers(s): Zachary Chuey
Arbitrator(s): Daniel F. Piar
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 22-00423 | 12/05/2023 | Claimant(s): Ramona Mebane
Claimant Lawyers(s): Bradford M Gucciardo
Respondent(s): Edward Jones
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
| | Expungement |
| 22-02499 | 11/30/2023 | Claimant(s): Arnold Key, Stephanie Hicks, Susan Tilley, Michael Atkins, Frances Atkins' Estate, Stephanie Hicks IRA
Claimant Lawyers(s): Matt E. Wolper
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): C Marcus Harris, Richard H. Potter, John Russell Barlow
Hearing Site: Charlotte, NC
| | $0 |
| 23-00137 | 11/10/2023 | Claimant(s): Frances Norman, Joe Norman, Joyce Bowman, Rita Manuel, William Bowman, Frances D. Norman IRA, Joe Bill Norman IRA, Joyce T. Bowman IRA, Rita Manuel IRA, William G. Bowman IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): James Woods, Oppenheimer & Co.., Julie Jones
Respondent Lawyers(s): James Wallace Woods, Julie Adelle Jones, William E. Mahoney
Arbitrator(s): James Michael Belk, Daniel F. Piar, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
| | $0 |
| 22-00904 | 11/03/2023 | Claimant(s): Pamela Snow, Terry Snow
Claimant Lawyers(s): Matt Wolper
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): C Marcus Harris, Frank V. Tutone, Alicia Mitchell-Mercer
Hearing Site: Charlotte, NC
| | $0 |
| 23-00742 | 10/13/2023 | Claimant(s): Thomas Lomascolo
Claimant Lawyers(s): Thomas Lomascolo
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Victoria Liccione
Hearing Site: Charlotte, NC
| | $0 |
| 22-01853 | 07/10/2023 | Claimant(s): Cathy Margoshes
Claimant Lawyers(s): Ryan N. Chae
Respondent(s): Chikezie Esiobu
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | Expungement |
| 22-00664 | 06/23/2023 | Claimant(s): Elaine Holland Royster, Joshua Royster, Elaine Holland Royster IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Compan
Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, Jennifer Greene, Julie A. Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney
Arbitrator(s): Susan L. Luck, Chase Boone Saunders, James Michael Belk
Hearing Site: Charlotte, NC
| | Settlement |
| 22-02948 | 06/21/2023 | Claimant(s): Nancy Everidge
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management
Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, John J. Woods, Julie Adelle Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney
Arbitrator(s): Charles L.A. Terreni, Victoria Liccione, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
| | Withdrawn |
