| 22-01055 | 07/03/2023 | Claimant(s): Paul Mattera
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Edward Jones
Respondent Lawyers(s): Charles E. Raynal
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Raleigh, NC
|  | Expungement |
| 19-03743 | 05/25/2021 | Claimant(s): Accurate Building Co. LLC
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Four Points Capital Partners LLC
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Robert H. Putnam, Patricia Ann Tracey, Denise Morris Hammond
Hearing Site: Columbia, SC
| | Expungement |
| 20-02617 | 03/29/2021 | Claimant(s): Bill Wolfe and Debbie Wolfe
Claimant Lawyers(s): Bill Wolfe
Respondent(s): Amber McCormick, Larry Potts
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
| | Expungement |
| 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 |
| 12-01061 | 05/31/2013 | Claimant(s): Peggy Greene, Sucessor Ttee tr. agr. dtd May 23, 1996
Claimant Lawyers(s): D. Reece Williams
Respondent(s): Synovus Securities.
Respondent Lawyers(s): Benjamin B. Coulter
Arbitrator(s): Laurence M. Scoville, Patricia Ann Tracey, James Risen Gard
Hearing Site: Columbia, SC
| | $0 |
| 11-04165 | 05/28/2013 | Claimant(s): Douglas Ray Cheek D/P/A for Bobby Cheek
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
| | Expungement |
| 10-05827 | 04/29/2013 | Claimant(s): Naomi Bowling, Richard Bowling
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric M. Morris
Arbitrator(s): Leonard E. Benade, Patricia Ann Tracey, Mary B. Campbell
Hearing Site: Charlotte, NC
| | $0 |
| 11-00210 | 02/08/2012 | Claimant(s): Marie Travisano
Claimant Lawyers(s): Charles D. Heidgerd
Respondent(s): Gregory Grimshaw, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Raleigh, NC
| | $38,301 |
| 10-04531 | 12/05/2011 | Claimant(s): Barry Jones
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Wayne Parker, Patricia Ann Tracey, Michael F. Pearl
Hearing Site: Raleigh, 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 |
