| 17-02676 | 07/12/2019 | Claimant(s): Adriana Fuertes, Camelia Fuertes, Esther Mudafort And Roberto Fuertes
Claimant Lawyers(s): Eric Quetglas Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Louis Frank Mendez, Roberto C. Quinones-Rivera
Arbitrator(s): Lynne T. Albert, Douglas Earl McLaren, Robert G. Falbisaner
Hearing Site: San Juan, PR
|  | $4,881,880 |
| 14-01708 | 02/09/2017 | Claimant(s): Joe Poteat
Claimant Lawyers(s): Neil A. Riemann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Leonard E. Benade, Lynne T. Albert, James Risen Gard
Hearing Site: Charlotte, NC
| | $0 |
| 15-01640 | 12/06/2016 | Claimant(s): Bonnie Shepherd, Holton Shepherd, Robert Young, 109 U Pull It. Robert C. Young, Holton & Bonnie Shepherd
Claimant Lawyers(s): Patricia L. Vannoy, Ryon M. McCabe
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Richard S. Zaifert, Lynne T. Albert, Richard James Igou
Hearing Site: Raleigh, NC
| | $119,177 |
| 15-00949 | 09/21/2015 | Claimant(s): Edward Cavallone
Claimant Lawyers(s): Fred B. Monroe
Respondent(s): Wells Fargo Advisors, William Mode
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
| | $600 |
| 12-00331 | 11/12/2013 | Claimant(s): Faye Johnson, Terry Johnson, NNN Las Colinas Highlands 3, NNN Las Colinas Highlands 4
Claimant Lawyers(s): David Liebrader
Respondent(s): George Hicks, Wanda Cooper, Capital Investment Group.
Respondent Lawyers(s): Gary M. Saretsky, Jonathan M. Sterling
Arbitrator(s): Wayne Parker, Lynne T. Albert, Robert O. Belo
Hearing Site: Raleigh, NC
| | Expungement |
| 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 |
| 09-07149 | 05/23/2011 | Claimant(s): Caroline Dufrin
Claimant Lawyers(s): Christopher Mader
Respondent(s): Charles Snider, Allstate Financial Services
Respondent Lawyers(s): Samantha Tesser Haimo, Stuart H. Russell
Arbitrator(s): Lynne T. Albert, Michael F. Pearl, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
| 09-05107 | 03/15/2011 | Claimant(s): David Ferraro
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Deutsche Bank Securities., Gregory Planck
Respondent Lawyers(s): Donald N. Cohen
Arbitrator(s): Sidney L. Sussman, Lynne T. Albert, John H. Griffing
Hearing Site: Charlotte, NC
| | Expungement |
| 09-04459 | 11/09/2010 | Claimant(s): Lisa Craig, Mathew Craig
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Lynne T. Albert, David P. McDuffee, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
