| 15-03176 | 01/06/2017 | Claimant(s): Barbara Lattanze, Robert Lattanze
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Catherine Mewborn, Sterne Agee Financial Services.
Respondent Lawyers(s): J. Anthony Penry, Peter S. Fruin
Arbitrator(s): Gayle B. Carlson
Hearing Site: Raleigh, NC
|  | $6,593 |
| 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 |
| 15-02862 | 10/25/2016 | Claimant(s): Joyce Gorham-Worsley
Claimant Lawyers(s): Joyce Gorham-Worsley
Respondent(s): Alonza Barnett, Institutional Capital Management.
Respondent Lawyers(s): Alonza Barnett, Douglas Yauger
Arbitrator(s): Karen A. West
Hearing Site: Raleigh, NC
| | $0 |
| 16-00229 | 10/13/2016 | Claimant(s): Hagar Jackson
Claimant Lawyers(s): Robert D Rouse
Respondent(s): John Matta, Edward Jones
Respondent Lawyers(s): Robert J. Osdieck
Arbitrator(s): Leonard E. Benade
Hearing Site: Raleigh, NC
| | $8,718 |
| 13-03258 | 09/09/2015 | Claimant(s): Arthur Keith Burch and Lea Burch, JTWROS
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): Gerald L. Fingerhut, John Russell Barlow, David Lawrence Rowe
Hearing Site: Raleigh, NC
| | Expungement |
| 12-03409 | 06/04/2015 | Claimant(s): Faye Smith, J.O. Godwin, Joseph Smith, June Collier, Lee Roy Collier, Estate of Erma Bowen
Claimant Lawyers(s): Brandon S. Neuman, C. Battles
Respondent(s): Hugh Dyson
Respondent Lawyers(s): Hugh Monroe Dyson
Arbitrator(s): Karen A. West, Thomas W. Allen, David Josephsohn
Hearing Site: Raleigh, NC
| | $437,500 |
| 14-00723 | 10/28/2014 | Claimant(s): Joseph Bonfiglio, Sarah Bonfiglio
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): John Russell Barlow
Hearing Site: Raleigh, NC
| | $0 |
| 13-02978 | 10/08/2014 | Claimant(s): Barbara Hazle, William Hazle
Claimant Lawyers(s): William Hazle
Respondent(s): Walter Grenda
Respondent Lawyers(s): Walter Francis Grenda
Arbitrator(s): Michael E. Weddington, Michael J. Pasquale, Charles Robert Moore
Hearing Site: Raleigh, NC
| | $0 |
| 13-00490 | 08/07/2014 | Claimant(s): Steven Brodsky, Whitney Brodsky
Claimant Lawyers(s): Steven Brodsky
Respondent(s): Robert Macaluso
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | Expungement |
| 13-02598 | 07/16/2014 | Claimant(s): Margaret Kinlaw, Tilden Kinlaw
Claimant Lawyers(s): H. Mitchell Baker
Respondent(s): LPL Financial LLC, James Granger
Respondent Lawyers(s): Melanie Black Dubis, Rick E. Graves
Arbitrator(s): Ina N. Otto, John Russell Barlow, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | Expungement |
