| 11-03973 | 04/19/2012 | Claimant(s): Sandra LeCrone
Claimant Lawyers(s): Sandra K. LeCrone
Respondent(s): Brandon Becker
Respondent Lawyers(s): Carranza M. Pryor
Arbitrator(s): Richard H. Potter
Hearing Site: Raleigh, NC
|  | $63 |
| 10-05144 | 03/06/2012 | Claimant(s): Harvey Jester
Claimant Lawyers(s): Andrew O Whiteman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Henry Johnson
Arbitrator(s): Timothy J. Wright, Charles S. Clayton, Denise L. Presley
Hearing Site: Raleigh, NC
| | Expungement |
| 11-00881 | 02/17/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Alvaro Casella
Respondent Lawyers(s): Alvaro G. Casella
Arbitrator(s): Lewis H. Kairys, Carl F. Bowmer, Thomas W. Allen
Hearing Site: Raleigh, NC
| | $0 |
| 11-00210 | 02/08/2012 | Claimant(s): Marie Travisano
Claimant Lawyers(s): Charles D. Heidgerd
Respondent(s): Gregory Grimshaw, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Raleigh, NC
| | $38,301 |
| 10-05238 | 12/06/2011 | Claimant(s): William P. Hunter and Susan S. Hunter
Claimant Lawyers(s): Marlon J. Howard
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy S. Baird
Arbitrator(s): Janice L. Burnham, John D. Robb, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
| 10-04531 | 12/05/2011 | Claimant(s): Barry Jones
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Wayne Parker, Patricia Ann Tracey, Michael F. Pearl
Hearing Site: Raleigh, NC
| | Expungement |
| 10-03018 | 09/26/2011 | Claimant(s): M. Gill
Claimant Lawyers(s): William B.L. Little
Respondent(s): SunTrust Investment Services., Deborah Turnley, Jerry Smith
Respondent Lawyers(s): Erica T. Meyers
Arbitrator(s): Sharon A. McCloskey
Hearing Site: Raleigh, NC
| | Expungement |
| 10-01604 | 09/06/2011 | Claimant(s): Connie Hage
Claimant Lawyers(s): Steve Virgil
Respondent(s): Larry James, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea M. Greene, Kathryn L. Dietrich
Arbitrator(s): Carl F. Bowmer
Hearing Site: Raleigh, NC
| | $0 |
| 10-01142 | 06/24/2011 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Adelino Cerveira
Respondent Lawyers(s): Adelino Cerveira
Arbitrator(s): Robert P. Porter
Hearing Site: Raleigh, NC
| | $0 |
| 09-07149 | 05/23/2011 | Claimant(s): Caroline Dufrin
Claimant Lawyers(s): Christopher Mader
Respondent(s): Charles Snider, Allstate Financial Services
Respondent Lawyers(s): Samantha Tesser Haimo, Stuart H. Russell
Arbitrator(s): Lynne T. Albert, Michael F. Pearl, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
