| 23-01725 | 10/27/2023 | Claimant(s): Spencer Hyde
Claimant Lawyers(s): Spencer Roderick Hyde
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Atlanta, GA
|  | $435 |
| 22-01853 | 07/10/2023 | Claimant(s): Cathy Margoshes
Claimant Lawyers(s): Ryan N. Chae
Respondent(s): Chikezie Esiobu
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | Expungement |
| 21-00534 | 03/16/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Richard Louis
Respondent Lawyers(s): Richard Pierre Louis
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Atlanta, GA
| | $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 |
| 11-02758 | 11/02/2012 | Claimant(s): Joseph Vollmer, Robert Vollmer, POA for J. Vollmer
Claimant Lawyers(s): Robert W. Vollmer, POA for J. Vollmer
Respondent(s): Wells Fargo Advisors, James Copley, Mark Vaughan, Thomas Tiner
Respondent Lawyers(s): Sara Soto, Scott A. Eichhorn
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | $0 |
| 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 |
| 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 |
| 09-04459 | 11/09/2010 | Claimant(s): Lisa Craig, Mathew Craig
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Lynne T. Albert, David P. McDuffee, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
| 07-03087 | 10/23/2008 | Claimant(s): Ruimin Chen and Li Pan
Claimant Lawyers(s): Li Pan
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): C. Marcus Harris, Daniel W. Desmond, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
