| 23-01616 | 07/11/2024 | Claimant(s): Francesco Rappa, Rosa Rappa
Claimant Lawyers(s): William B. Young
Respondent(s): Intercarolina Financial Services.
Respondent Lawyers(s): Joseph E. Navolanic
Arbitrator(s): Stuart K. Furman
Hearing Site: Raleigh, NC
|  | $18,600 |
| 23-00578 | 11/17/2023 | Claimant(s): Tim Tompkins
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Emily M. Knight
Arbitrator(s): Kenneth R. Starr, Danny Lynn Ingram, Karen Bonnie Biggs
Hearing Site: Raleigh, NC
| | Dismissed by Rule 12206(b) |
| 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 |
| 22-01747 | 12/15/2022 | Claimant(s): Paul Weiland
Claimant Lawyers(s): Paul J. Weiland
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Barbara Black
Hearing Site: Raleigh, NC
| | $88 |
| 20-01201 | 09/01/2022 | Claimant(s): The Barbara M. Estay Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borelli
Arbitrator(s): Roger C. Benson, Alan E. Linden, Lynda Joyce Howell
Hearing Site: Raleigh, NC
| | $468,126 |
| 21-02446 | 06/07/2022 | Claimant(s): Scott Keck
Claimant Lawyers(s): Aaron C. Hemmings
Respondent(s): MML Investors Services, MSI Financial Services., Metropolitan Life Insurance Company
Respondent Lawyers(s): Peter R. Pound
Arbitrator(s): Roger C. Benson, Charles Diederich Heidgerd, Karen A. West
Hearing Site: Raleigh, NC
| | Dismissed by Rule 12206 |
| 20-01900 | 11/04/2021 | Claimant(s): Joseph Serensits
Claimant Lawyers(s): Eric D. Edwards
Respondent(s): Firhan Choudhary, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Barbara Black, Michael E. Weddington, John Russell Barlow
Hearing Site: Raleigh, NC
| | Expungement |
| 19-03517 | 09/02/2021 | Claimant(s): Estes Rigsbee
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Andre LaBarbera, Richard Stoyeck, Titus Rockefeller
Respondent Lawyers(s): Andre Vincent LaBarbera, Richard Christopher Stoyeck
Arbitrator(s): Robert G. Bannon
Hearing Site: Raleigh, NC
| | $0 |
| 20-02431 | 02/09/2021 | Claimant(s): Renuka Tummala
Claimant Lawyers(s): Renuka Tummala
Respondent(s): Robinhood Financial
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Harvey R. Linder
Hearing Site: Raleigh, NC
| | $300 |
| 19-00796 | 03/10/2020 | Claimant(s): Charlene Robson, David Robson
Claimant Lawyers(s): Pamela S Duffy
Respondent(s): David Specht, Leslie Hankinson, Fidelity Brokerage Services LLC, Strategic Advisers
Respondent Lawyers(s): Nioah D. Sorkin
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
| | $34,125 |
