| 19-00737 | 03/15/2023 | Claimant(s): Johanna Vandermark, Living Trust, Joanna Vandermark Trustee, Vandermark Credit Shelter Trust, Karen Y
Claimant Lawyers(s): Fred B. Monroe
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan Neerman
Arbitrator(s): Douglas Earl McLaren, Jason Alexander Diamond, GianDomenico Sarolli
Hearing Site: Charlotte, NC
|  | $776,149 |
| 20-04082 | 02/23/2022 | Claimant(s): Richard Boyer, Richard Boyer IRA
Claimant Lawyers(s): Richard Boyer
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Frank V. Tutone
Hearing Site: Charlotte, NC
| | $0 |
| 19-02676 | 12/31/2021 | Claimant(s): Walter Converse
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Clifford Reid, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Tina E. Patterson, Dawn M. Antalik-Baker, Daniel F. Piar
Hearing Site: Charlotte, NC
| | Expungement |
| 21-01274 | 09/22/2021 | Claimant(s): Hailey Woolf ESA, Hailey Woolf UTMA, Walker Woolf ESA, Walker Woolf UTMA, Melissa Woolf Roth IRA, Melissa Woolf r/o IRA, Steven Woolf Roth IRA, Steven & Melissa Woolf Joint
Claimant Lawyers(s): Steven Woolf
Respondent(s): Ameriprise Financial Services., Wells Fargo Clearing Services, Jonathan Mirer, Michael Swinehart
Respondent Lawyers(s): Jeffery D. Rodgers, Sydney H. Crowder
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Charlotte, NC
| | $0 |
| 21-00029 | 07/22/2021 | Claimant(s): Elizabeth Fox
Claimant Lawyers(s): John H. Griffing
Respondent(s): Money Concepts Capital Corp.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 17-02244 | 11/17/2020 | Claimant(s): Kyle Busch, Samantha Busch
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Charles Parks, C.F. Parks & Co.., Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Patricia Ann Tracey, Richard E. Miley, James Howell Garrison
Hearing Site: Charlotte, NC
| | $135,000 |
| 20-00285 | 10/05/2020 | Claimant(s): Charles Collins
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): John Marky, Network 1 Financial Securities Inc.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Frank E. Wolf
Hearing Site: Charlotte, NC
| | $300 |
| 19-00350 | 09/11/2020 | Claimant(s): Pam Matthews
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Richard H. Potter, John Russell Barlow, Ronald Bruce Natalie
Hearing Site: Charlotte, NC
| | $258,000 |
| 18-03454 | 03/20/2020 | Claimant(s): Tomas Fernandez
Claimant Lawyers(s): Jessica Vasquez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Norton
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Harvey R. Linder
Hearing Site: Charlotte, NC
| | $0 |
| 19-03613 | 01/30/2020 | Claimant(s): Pam Matthews
Claimant Lawyers(s): Scott L. Silver
Respondent(s): James Heafner
Respondent Lawyers(s): James Hal Heafner
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | $60,000 |
