| 19-00008 | 05/31/2019 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Robert Stiles
Respondent Lawyers(s): Robert Louis Stiles
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC
| | |
| 18-00474 | 05/14/2019 | Claimant(s): James Sigmon
Claimant Lawyers(s): John B. Veach
Respondent(s): Todd Beddard, T.R. Winston & Company
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Susan L. Luck, Frank V. Tutone, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
|  | $99,663 |
| 18-03153 | 03/11/2019 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Brandy Pikus
Respondent(s): Steven Dick
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
| | |
| 18-02175 | 01/25/2019 | Claimant(s): John Balcerzak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities., World Group Securities.
Respondent Lawyers(s): Clive Slovin, Susan D. Duff
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
| | |
| 17-01206 | 12/10/2018 | Claimant(s): Ricky Vanzant
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Mary E. Woytek, James A. Hayes, James F. Major
Hearing Site: Charlotte, NC
| | $550,000 |
| 17-02500 | 11/30/2018 | Claimant(s): Scott Chamberlain
Claimant Lawyers(s): Scott Dean Chamberlain
Respondent(s): GCG Wealth Management.
Respondent Lawyers(s): M. Robin Davis
Arbitrator(s): Landrum H. Henderson, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
| | |
| 18-00933 | 11/28/2018 | Claimant(s): William Byron
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
| | |
| 17-01207 | 11/12/2018 | Claimant(s): Kathy Walters
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Richard E. Miley, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
| | $129,058 |
| 17-01205 | 10/30/2018 | Claimant(s): Robert Cline
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James A. Hayes, Harry G. Mason, David F. Simon
Hearing Site: Charlotte, NC
| | $127,925 |
| 18-00942 | 10/23/2018 | Claimant(s): William Oliver
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
| | |
