| 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 |
| 12-00462 | 04/22/2013 | Claimant(s): Mildred Wood, Mildred Wood Revocable Trust, Trust Under the Will of Robert E. Wood
Claimant Lawyers(s): Thomas P. Gressette
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Lisbeth Cherrington
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Susan J. Buckley, Alan L. Berger, Charles L.A. Terreni
Hearing Site: Columbia, SC
| | Expungement |
| 11-01193 | 01/30/2013 | Claimant(s): Lynda Haskins
Claimant Lawyers(s): Michael Hill
Respondent(s): Francis Ford, Citigroup Global Markets., Julia Dotterer, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Alan L. Berger
Hearing Site: Columbia, SC
| | Expungement |
| 09-02355 | 07/30/2010 | Claimant(s): Arnold Lucius, Lisa Lucius
Claimant Lawyers(s): Willliam B. L. Little
Respondent(s): Denise Buchanan, James Hirst, Richard Murray
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Alan L. Berger
Hearing Site: Raleigh, NC
| | $0 |
| 06-03931 | 02/06/2008 | Claimant(s): Patricia Murphy
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Chintaman Dalvi, James Patten, Empire Financial Group., Greater Metropolitan Investment Serv., T.R. Winston & Company
Respondent Lawyers(s): Eden L. Rohrer, James Patten, Richard C. Szuch, Sheryl M. Goski, Todd Zuckerbrod
Arbitrator(s): Leon Henderson, Donald Cornelius Morrison, Alan L. Berger
Hearing Site: Raleigh, NC
| | $1,165,800 |
