| 13-02943 | 05/15/2014 | Claimant(s): Tyler Evans
Claimant Lawyers(s): Tyler Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
|  | $0 |
| 13-01514 | 04/17/2014 | Claimant(s): Heidi Simmons
Claimant Lawyers(s): Heidi J. Simmons
Respondent(s): Kinyon Vinson
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Lisa Bass Morris
Hearing Site: Charlotte, NC
| | $0 |
| 12-03925 | 03/25/2014 | Claimant(s): Steven Savary
Claimant Lawyers(s): Jeffrey R. Youngman
Respondent(s): Wells Fargo Advisors, Jamie Meehan, William O'Connor, Meehan Financial Group, Wells Fargo & Company
Respondent Lawyers(s): Compliance Officer, Judy Louie
Arbitrator(s): Robert P. Porter
Hearing Site: Charlotte, NC
| | Expungement |
| 13-00206 | 03/10/2014 | Claimant(s): Aseko.
Claimant Lawyers(s): Michael P. Hindelang
Respondent(s): Allen Curry, Synovus Securities.
Respondent Lawyers(s): Kip Nesmith
Arbitrator(s): Richard H. Potter, James F. Major, Robert A. Ames
Hearing Site: Charlotte, NC
| | $77,190 |
| 12-00535 | 01/06/2014 | Claimant(s): Melissa Whitaker, The Estate of D. Clay Whitaker
Claimant Lawyers(s): Nathaniel W. Bax
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Robert T. Allen, Leslie R. Berro, Ronald Tuttle Osborn
Hearing Site: Charlotte, NC
| | $200,300 |
| 11-04183 | 12/10/2013 | Claimant(s): Marques Douglas, Sparkle Douglas
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): Charlene Monts, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Financial Planning Group, Merrill Lynch Life Agency
Respondent Lawyers(s): Charlene Denise Monts, Regina P. Martorana
Arbitrator(s): Alan L. Berger, Celeste A. Beron, Michael J. Pasquale
Hearing Site: Charlotte, NC
| | Expungement |
| 12-02765 | 12/04/2013 | Claimant(s): Margie Christian, Roland Stout, NNN Aventura Harbor Center 27, NNN Aventura Harbor Center 28, NNN Sienna Office Park One 26
Claimant Lawyers(s): David Liebrader
Respondent(s): Mark Whitley, Phillip Whitley
Respondent Lawyers(s): Phillip Thomas Whitley
Arbitrator(s): Lisa Bass Morris, Richard E. Miley
Hearing Site: Charlotte, NC
| | Expungement |
| 12-02948 | 12/02/2013 | Claimant(s): John Hoots
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Camden R. Webb
Arbitrator(s): John Russell Barlow, Richard E. Miley, Frank V. Tutone
Hearing Site: Charlotte, NC
| | $27,000 |
| 12-03318 | 11/05/2013 | Claimant(s): Bennet Phillips
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
| | Expungement |
| 10-05079 | 08/12/2013 | Claimant(s): Estate of Wilma S. Yount
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Stephen P. Hoffman, Thomas Doyle Blum, Frank V. Tutone
Hearing Site: Charlotte, NC
| | Expungement |
