| 18-01185 | 08/27/2018 | Claimant(s): Evan Wilson
Claimant Lawyers(s): Evan D Wilson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Barbara Black
Hearing Site: Charlotte, NC
|  | $0 |
| 18-00763 | 08/16/2018 | Claimant(s): Edward Bertram, Marilyn Bertram
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Garland James, Ronald Richer, Garden State Securities.
Respondent Lawyers(s): Garland Sean James, Robert I. Rabinowitz
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
| | $25,600 |
| 16-00303 | 02/14/2018 | Claimant(s): Donna Hankin IRA, Lee Hankin IRA, Donna Hankin and Lee Hankin JTWROS
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Braver Stern Securities LLC, Newport Coast Securities.
Respondent Lawyers(s): Nat Wasserstein, Richard Onesto
Arbitrator(s): Susan L. Luck, William P. Loughnane, Margaret Elizabeth Gee
Hearing Site: Charlotte, NC
| | $281,264 |
| 16-03011 | 02/01/2018 | Claimant(s): Karen Caldwell
Claimant Lawyers(s): Karen G. Caldwell
Respondent(s): Wells Fargo Advisors, Mary Stockinger
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Mary E. Woytek, Frank Samuel Perri, Brock B. Gordon
Hearing Site: Charlotte, NC
| | Expungement |
| 17-01791 | 12/22/2017 | Claimant(s): Javed Maniya
Claimant Lawyers(s): Javed Maniya
Respondent(s): Optionshouse
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Brock B. Gordon
Hearing Site: Charlotte, NC
| | $0 |
| 16-03376 | 12/06/2017 | Claimant(s): Randy Wiles
Claimant Lawyers(s): Randy Dale Wiles
Respondent(s): Frank Beals
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): John A. Baynes, Susan L. Luck, Frank E. Wolf
Hearing Site: Charlotte, NC
| | $0 |
| 16-01496 | 11/10/2017 | Claimant(s): Estate of Michael Williams
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jaimeson
Arbitrator(s): Tina E. Patterson, James Michael Belk, Frank V. Tutone
Hearing Site: Charlotte, NC
| | $600 |
| 16-00695 | 08/16/2017 | Claimant(s): Brenda Phetteplace, Thomas Trout
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Paul Davis Pearlstein, Daniel Lee Tedrick, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | Expungement |
| 17-00212 | 06/28/2017 | Claimant(s): Javed Maniya
Claimant Lawyers(s): Javed Maniya
Respondent(s): OptionsHouse
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $0 |
| 15-00010 | 05/03/2017 | Claimant(s): Steven Griff
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert T. Allen, John A. Baynes, Brock B. Gordon
Hearing Site: Charlotte, NC
| | $0 |
