| 11-04276 | 12/07/2012 | Claimant(s): Robert Bridgeman
Claimant Lawyers(s): Robert C. Bridgeman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
|  | $0 |
| 11-02035 | 11/28/2012 | Claimant(s): Phillip Sherrill
Claimant Lawyers(s): John B. Veach
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Craig Kuglar
Arbitrator(s): John H. Griffing, Stephen P. Hoffman, Daphne Tippens Chisolm
Hearing Site: Charlotte, NC
| | $283,862 |
| 11-01519 | 11/19/2012 | Claimant(s): Timothy Hullett
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $225 |
| 11-02758 | 11/02/2012 | Claimant(s): Joseph Vollmer, Robert Vollmer, POA for J. Vollmer
Claimant Lawyers(s): Robert W. Vollmer, POA for J. Vollmer
Respondent(s): Wells Fargo Advisors, James Copley, Mark Vaughan, Thomas Tiner
Respondent Lawyers(s): Sara Soto, Scott A. Eichhorn
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | $0 |
| 11-00105 | 05/21/2012 | Claimant(s): Robin Hennessy, Robin Joan Hennessy IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Richard Megorden, IFG/Russell Advisors.
Respondent Lawyers(s): Marianne Johnston
Arbitrator(s): John Russell Barlow, Rudolph Andrew Bata, John G. Shamp
Hearing Site: Charlotte, NC
| | Expungement |
| 11-02796 | 04/20/2012 | Claimant(s): Alpine Optics.
Claimant Lawyers(s): Horst Stahl
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $0 |
| 11-00416 | 01/17/2012 | Claimant(s): Martha Thomas, Robert Thomas
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | $24,880 |
| 10-05501 | 11/07/2011 | Claimant(s): Mercer Blankenship
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Tim Baird
Arbitrator(s): Robert T. Allen, Lynne T. Albert, Richard E. Miley
Hearing Site: Charlotte, NC
| | Expungement |
| 10-03166 | 09/27/2011 | Claimant(s): The Estate of Ruth T. Speight
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors Financial Network, Stephen Thomas, Linden Thomas & Co.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): William W. Marchant, Lynne T. Albert, Rudolph Andrew Bata
Hearing Site: Charlotte, NC
| | Expungement |
| 11-00960 | 08/30/2011 | Claimant(s): Dylan Brooks
Claimant Lawyers(s): Dylan Brooks
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
| | $0 |
