| 18-02022 | 12/26/2019 | Claimant(s): John Seltzer
Claimant Lawyers(s): Bruce Sanders
Respondent(s): Edwin Bartlett, Merrill Lynch Pierce Fenner & Smith Inc., Ryan Marchi
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Harry G. Mason
Hearing Site: Raleigh, NC
|  | $0 |
| 17-02423 | 12/26/2018 | Claimant(s): Steve L. Sexton IRA, Steve and Marcia Sexton, Marcia G. Sexton, REV LIV
Claimant Lawyers(s): Matthew Skidmore
Respondent(s): Morgan Stanley, Michael Cooper
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Thomas B. Corey, Robert P. Porter, Richard James Igou
Hearing Site: Raleigh, NC
| | $0 |
| 17-00487 | 11/29/2018 | Claimant(s): Joyce Livengood, Norman Livengood IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Harry G. Mason
Hearing Site: Raleigh, NC
| | $0 |
| 17-01680 | 09/20/2018 | Claimant(s): Diana Needham
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Geoffrey Frazier, Timothy Lyle
Respondent Lawyers(s): Brian A. Carlis, Debra A. Jenks
Arbitrator(s): Leonard E. Benade, Muriel Desloovere, Michael J. Pasquale
Hearing Site: Raleigh, NC
| | Expungement |
| 17-00352 | 05/14/2018 | Claimant(s): Clarence B. Mills 1991 Irrevocable Trust, William E. Mills 1991 Irrevocable Trust
Claimant Lawyers(s): Alan W. Duncan
Respondent(s): David Robinson, Wachovia Securities Financial Network, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Richard S. Zaifert, Michele Ann Ledo, Theodore Haynes
Hearing Site: Raleigh, NC
| | Expungement |
| 17-02695 | 02/22/2018 | Claimant(s): James Starling
Claimant Lawyers(s): James Ralph Starling
Respondent(s): Douglas Hornberger, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Michele Ann Ledo
Hearing Site: Raleigh, NC
| | $425 |
| 15-02117 | 12/19/2017 | Claimant(s): Cust IRA FBO Julia Dobbins Joyce, Cust IRA FBO Kaye C. Idol, Cust IRA FBO Steven Michael Joyce, Cust IRA FBO Walter Lane Idol Jr., Cust Rollover IRA FBO Paschal Dobbins, Steven Joyce and Julia Joyce JTTEN, Walter Idol Jr & Kaye Idol JTTEN
Claimant Lawyers(s): David Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Michael E. Weddington, Thomas Joseph Atkinson, Danny Lynn Ingram
Hearing Site: Raleigh, NC
| | $462,080 |
| 17-00196 | 06/29/2017 | Claimant(s): Brian Burke, Sandra Burke
Claimant Lawyers(s): Horace M. Baker
Respondent(s): John Thomas
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Robert G. Bannon
Hearing Site: Raleigh, NC
| | $0 |
| 15-02033 | 04/25/2017 | Claimant(s): Steven Hedrick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Robert H. Putnam, Michael E. Weddington
Hearing Site: Raleigh, NC
| | Expungement |
| 14-02887 | 03/24/2017 | Claimant(s): Sarah Harmon
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Robert T. Allen
Hearing Site: Raleigh, NC
| | $0 |
