| 23-00946 | 06/04/2024 | Claimant(s): Jasmin Gentling, Peter Gentling
Claimant Lawyers(s): John B Veach
Respondent(s): John Wolf, Cornerstone Financial Planning
Respondent Lawyers(s): Elizabeth L. Winters
Arbitrator(s): Richard H. Potter, Charles L.A. Terreni, Silvia Maria Rossbach Rheinbolt
Hearing Site: Charlotte, NC
|  | $613,825 |
| 19-00350 | 09/11/2020 | Claimant(s): Pam Matthews
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Richard H. Potter, John Russell Barlow, Ronald Bruce Natalie
Hearing Site: Charlotte, NC
| | $258,000 |
| 18-03960 | 11/12/2019 | Claimant(s): Catherine Baker
Claimant Lawyers(s): D. Daxton White
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Richard H. Potter, Michael J. Ahlstrom, John A. Baynes
Hearing Site: Charlotte, NC
| | $228,384 |
| 18-01073 | 08/29/2019 | Claimant(s): Sean Stewart
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Daniel Dvorznak, Nicholas Tsikitas, J.D. Nicholas & Associates.
Respondent Lawyers(s): Irwin Weltz, James Dolan
Arbitrator(s): Richard H. Potter, Susan L. Luck, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | Settlement |
| 15-02121 | 12/09/2016 | Claimant(s): Jose Fernandez, Marixa Hernandez
Claimant Lawyers(s): Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones
Arbitrator(s): Richard H. Potter, James L. Warren, Matthew Stephen Duchesne
Hearing Site: San Juan, PR
| | $391,476 |
| 15-01842 | 08/02/2016 | Claimant(s): Andrew Wilkinson
Claimant Lawyers(s): Randall C. Place
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Richard H. Potter, Kenneth Hoffner, Dana Tait Sandlin
Hearing Site: Charlotte, NC
| | $98,750 |
| 14-00515 | 07/28/2015 | Claimant(s): Jamesa Selleck
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Wells Fargo Advisors, Renita McDougal
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Richard H. Potter, Sanford S. Finder, Daniel Lee Tedrick
Hearing Site: Charlotte, NC
| | Expungement |
| 13-00206 | 03/10/2014 | Claimant(s): Aseko.
Claimant Lawyers(s): Michael P. Hindelang
Respondent(s): Allen Curry, Synovus Securities.
Respondent Lawyers(s): Kip Nesmith
Arbitrator(s): Richard H. Potter, James F. Major, Robert A. Ames
Hearing Site: Charlotte, NC
| | $77,190 |
| 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 |
| 07-00302 | 08/05/2008 | Claimant(s): Abdul Manjee, Azim Manjee, Nawab Manjee, Prince Manjee, Zeb Manjee, ARM-S Electric.
Claimant Lawyers(s): Greg A Adamski
Respondent(s): Craig Blue, Gregory Gilmore, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Robert H. Springer, Richard H. Potter, F. Wesley Bowers
Hearing Site: Indianapolis, IN
| | Stipulated Award and Expungement |
