| 24-00389 | 11/19/2024 | Claimant(s): Paul Valentine
Claimant Lawyers(s): Corri A. Hopkins
Respondent(s): Edward Jones
Respondent Lawyers(s): Joshua B. Durham
Arbitrator(s): Dora M. Lassinger, David P. Slater, Ralph L. Jacobson
Hearing Site: Charlotte, NC
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| 24-01289 | 11/11/2024 | Claimant(s): Evan Kluttz
Claimant Lawyers(s): Alex Kilmartin
Respondent(s): Dickinson & Co.
Respondent Lawyers(s): Barbara E. Bennett
Arbitrator(s): Stuart K. Furman
Hearing Site: Charlotte, NC
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| 23-02978 | 09/05/2024 | Claimant(s): Christopher Hobart, Steven Greer
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry W. Yager
Arbitrator(s): James Michael Belk, Rupert Ripley Sizemore, Jerry E Long
Hearing Site: Charlotte, NC
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| 23-02624 | 07/01/2024 | Claimant(s): Sheree Gaines-Lawrence
Claimant Lawyers(s): Sheree Gaines-Lawrence
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Linda A. Allen, Theresa Joan Rosenberg, Arlene Simon Backman
Hearing Site: Charlotte, NC
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| 22-01119 | 06/11/2024 | Claimant(s): Mark Hebert
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Wells Fargo Securities
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Jonathan B. Gilbert, James Michael Belk, Douglas Alan Lawson
Hearing Site: Charlotte, NC
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| 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 |
| 23-01028 | 04/04/2024 | Claimant(s): Scott Namowicz
Claimant Lawyers(s): Bryan L. Tyson
Respondent(s): Sallie LarsenL Financial Holdings Inc. Severance
Respondent Lawyers(s): Roger Scruggs
Arbitrator(s): Richard H. Potter, David M. Pierce, Daniel F. Piar
Hearing Site: Charlotte, NC
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| 23-02226 | 03/11/2024 | Claimant(s): Nancy Littlefield, Stanley Littlefield, Nancy Littlefield IRA, Stanley Littlefield IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Triad Advisors LLC, Michael Hensley
Respondent Lawyers(s): Zachary Chuey
Arbitrator(s): Daniel F. Piar
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 23-02986 | 03/08/2024 | Claimant(s): Christopher Leak
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brandy Fernandez
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
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| 23-01995 | 03/08/2024 | Claimant(s): Sameer Baig
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Charlotte, NC
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