| 23-00137 | 11/10/2023 | Claimant(s): Frances Norman, Joe Norman, Joyce Bowman, Rita Manuel, William Bowman, Frances D. Norman IRA, Joe Bill Norman IRA, Joyce T. Bowman IRA, Rita Manuel IRA, William G. Bowman IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): James Woods, Oppenheimer & Co.., Julie Jones
Respondent Lawyers(s): James Wallace Woods, Julie Adelle Jones, William E. Mahoney
Arbitrator(s): James Michael Belk, Daniel F. Piar, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
|  | $0 |
| 22-00664 | 06/23/2023 | Claimant(s): Elaine Holland Royster, Joshua Royster, Elaine Holland Royster IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Compan
Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, Jennifer Greene, Julie A. Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney
Arbitrator(s): Susan L. Luck, Chase Boone Saunders, James Michael Belk
Hearing Site: Charlotte, NC
| | Settlement |
| 16-01496 | 11/10/2017 | Claimant(s): Estate of Michael Williams
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jaimeson
Arbitrator(s): Tina E. Patterson, James Michael Belk, Frank V. Tutone
Hearing Site: Charlotte, NC
| | $600 |
| 10-04733 | 05/08/2012 | Claimant(s): NAK Investments
Claimant Lawyers(s): Philip W. Bartenetti
Respondent(s): Hormoz Saleh, UBS Financial Services Inc.
Respondent Lawyers(s): Steve Young
Arbitrator(s): Robert W. Vernon, Troy C. Sumrall, James Belk
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-00949 | 10/28/2009 | Claimant(s): Angela Chan
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Douglas Frederick, Stephanie Chooi
Respondent Lawyers(s): Douglas Glen Frederick, Stephanie Pey Chooi
Arbitrator(s): Joyce L. Hurley, James Belk, James H. De Meules
Hearing Site: Los Angeles, CA
| | $18,678 |
