| 10-01482 | 06/30/2011 | Claimant(s): Denice Niethammer
Claimant Lawyers(s): Denice Niethammer
Respondent(s): Robert Roth, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
|  | Expungement |
| 10-05057 | 06/17/2011 | Claimant(s): George Froyd
Claimant Lawyers(s): John F Hanzel
Respondent(s): Brian Sohovich, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
| | $1,163 |
| 09-05107 | 03/15/2011 | Claimant(s): David Ferraro
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Deutsche Bank Securities., Gregory Planck
Respondent Lawyers(s): Donald N. Cohen
Arbitrator(s): Sidney L. Sussman, Lynne T. Albert, John H. Griffing
Hearing Site: Charlotte, NC
| | Expungement |
| 10-00790 | 09/14/2010 | Claimant(s): George M. Hunley, Jr. and Ada M. Hunley
Claimant Lawyers(s): George M. Hunley
Respondent(s): Stewart Fisher, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $425 |
| 09-05964 | 06/28/2010 | Claimant(s): Matthew Andrews
Claimant Lawyers(s): Matthew Bryan Andrews
Respondent(s): Mark Rizzieri
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): Neil Harvey Smith
Hearing Site: Charlotte, NC
| | $3,325 |
| 08-03396 | 05/28/2010 | Claimant(s): Frederick Hart
Claimant Lawyers(s): J. Jerome Hartzell
Respondent(s): Bruce Baker, Peter Dawson, Obsidian Financial Group
Respondent Lawyers(s): Brian Reis, Paul R. Williams, Peter J. Dawson-08A3494
Arbitrator(s): Jack C. Aycock, C. Marcus Harris, Chase Boone Saunders
Hearing Site: Charlotte, NC
| | $89,439 |
| 09-03008 | 05/05/2010 | Claimant(s): MIchelle L. Lakeson, William B. Lakeson, Jr.
Claimant Lawyers(s): Fred W DeVore
Respondent(s): Dominique Vercaemert
Respondent Lawyers(s): Andrew Dorman
Arbitrator(s): W. Wells Van Pelt, John H. Griffing, Richard E. Miley
Hearing Site: Charlotte, NC
| | $43,500 |
| 09-02203 | 03/17/2010 | Claimant(s): Charlotte Domiter
Claimant Lawyers(s): John F. Hanzel
Respondent(s): Melissa Carlson, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
| | $500 |
| 09-04755 | 02/04/2010 | Claimant(s): Jay H. Mintz IRA Rollover, Jay H. Mintz Revocable Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Annie M. Moriarty
Arbitrator(s): Neil Harvey Smith
Hearing Site: Charlotte, NC
| | $0 |
| 08-02620 | 02/01/2010 | Claimant(s): The Richard Ritchie Trust, The Roberta Ritchie Trust
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Keith Pagan, Dakota Securities International.
Respondent Lawyers(s): Bruce Zipper, President, Paul A. Alsdorf
Arbitrator(s): Monroe Mitchel, John H. Claudy, Paul Chernis
Hearing Site: Charlotte, NC
| | Expungement |
