| 20-01900 | 11/04/2021 | Claimant(s): Joseph Serensits
Claimant Lawyers(s): Eric D. Edwards
Respondent(s): Firhan Choudhary, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Barbara Black, Michael E. Weddington, John Russell Barlow
Hearing Site: Raleigh, NC
|  | Expungement |
| 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 |
| 19-03613 | 01/30/2020 | Claimant(s): Pam Matthews
Claimant Lawyers(s): Scott L. Silver
Respondent(s): James Heafner
Respondent Lawyers(s): James Hal Heafner
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | $60,000 |
| 17-02365 | 07/05/2019 | Claimant(s): Jamie Brown, Roger Brown
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): George Rankin, UBS Financial Services Inc., Samuel Rankin
Respondent Lawyers(s): Anthony J. Borrelli, Cory Hohnbaum
Arbitrator(s): Mary E. Woytek, John Russell Barlow, Richard E. Miley
Hearing Site: Charlotte, NC
| | $125,000 |
| 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 |
| 13-02557 | 03/06/2015 | Claimant(s): Shari Hanson
Claimant Lawyers(s): Donald M. Brown
Respondent(s): Stephen Englese, Equity Services.
Respondent Lawyers(s): Derek C. Anderson, Stephen Anthony Englese
Arbitrator(s): John A. Baynes, Michael C. Wittenberg, CPF, CLU, ChFC, John Russell Barlow
Hearing Site: Charlotte, NC
| | $0 |
| 13-03014 | 11/10/2014 | Claimant(s): Larry Hamilton
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): John Russell Barlow, John G. Shamp, Jason Alexander Diamond
Hearing Site: Charlotte, NC
| | $580,375 |
| 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 |
| 13-02598 | 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 |
| 12-02948 | 12/02/2013 | Claimant(s): John Hoots
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Camden R. Webb
Arbitrator(s): John Russell Barlow, Richard E. Miley, Frank V. Tutone
Hearing Site: Charlotte, NC
| | $27,000 |
