| 16-00150 | 12/19/2019 | Claimant(s): Joseph Long, Joseph Duane Long IRA, PTC Cust IRA FBO Joseph Duane Long, PTC Cust IRA FBO Peggy Long, Joseph Duane Long and Peggy Long JJTEN
Claimant Lawyers(s): David M. Gaba
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Barbara Black, James Howell Garrison, William Finley Hamel
Hearing Site: Charlotte, NC
|  | $550,398 |
| 18-03960 | 11/12/2019 | Claimant(s): Catherine Baker
Claimant Lawyers(s): D. Daxton White
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Richard H. Potter, Michael J. Ahlstrom, John A. Baynes
Hearing Site: Charlotte, NC
| | $228,384 |
| 18-03791 | 10/03/2019 | Claimant(s): Janet Heath, Jerry Heath, Joseph Taborek, Sandra Gizzi, James N. Heald
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): James Heafner, Taylor Capital Management Inc.
Respondent Lawyers(s): James Hal Heafner, Preston Spears
Arbitrator(s): Joe E. Manuel, David F. Simon, Daniel Lee Tedrick
Hearing Site: Charlotte, NC
| | $1,033,360 |
| 18-01073 | 08/29/2019 | Claimant(s): Sean Stewart
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Daniel Dvorznak, Nicholas Tsikitas, J.D. Nicholas & Associates.
Respondent Lawyers(s): Irwin Weltz, James Dolan
Arbitrator(s): Richard H. Potter, Susan L. Luck, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | Settlement |
| 17-02365 | 07/05/2019 | Claimant(s): Jamie Brown, Roger Brown
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): George Rankin, UBS Financial Services Inc., Samuel Rankin
Respondent Lawyers(s): Anthony J. Borrelli, Cory Hohnbaum
Arbitrator(s): Mary E. Woytek, John Russell Barlow, Richard E. Miley
Hearing Site: Charlotte, NC
| | $125,000 |
| 18-00474 | 05/14/2019 | Claimant(s): James Sigmon
Claimant Lawyers(s): John B. Veach
Respondent(s): Todd Beddard, T.R. Winston & Company
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Susan L. Luck, Frank V. Tutone, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | $99,663 |
| 17-01206 | 12/10/2018 | Claimant(s): Ricky Vanzant
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Mary E. Woytek, James A. Hayes, James F. Major
Hearing Site: Charlotte, NC
| | $550,000 |
| 17-01207 | 11/12/2018 | Claimant(s): Kathy Walters
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Richard E. Miley, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
| | $129,058 |
| 17-01205 | 10/30/2018 | Claimant(s): Robert Cline
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James A. Hayes, Harry G. Mason, David F. Simon
Hearing Site: Charlotte, NC
| | $127,925 |
| 17-01340 | 09/26/2018 | Claimant(s): David Beam, The Estate of Doris P. Beam, David M. Beam Irrevocable Trust
Claimant Lawyers(s): Sam McGee
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Christopher D. Tomlinson
Arbitrator(s): Emily Eiselman Hunter, Susan L. Luck, Ronald Tuttle Osborn
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
