| 18-01118 | 10/16/2018 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Keith Blanchard
Respondent Lawyers(s): Keith Everette Blanchard
Arbitrator(s): David Paul Clark
Hearing Site: Charlotte, NC
| | |
| 18-01962 | 10/16/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes LLC
Claimant Lawyers(s): Todd Ratner
Respondent(s): Alexander Jones
Respondent Lawyers(s): Alexander Clark Jones
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Charlotte, NC
| | |
| 18-00174 | 10/05/2018 | Claimant(s): John Scott
Claimant Lawyers(s): David W. Erb
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
| | |
| 17-01956 | 09/28/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Richard Humphreys
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Leslie R. Berro, Patricia Ann Tracey, Susan L. Luck
Hearing Site: Charlotte, NC
| | |
| 17-01340 | 09/26/2018 | Claimant(s): David Beam, The Estate of Doris P. Beam, David M. Beam Irrevocable Trust
Claimant Lawyers(s): Sam McGee
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Christopher D. Tomlinson
Arbitrator(s): Emily Eiselman Hunter, Susan L. Luck, Ronald Tuttle Osborn
Hearing Site: Charlotte, NC
|  | Dismissed by Rule 12206 |
| 18-01185 | 08/27/2018 | Claimant(s): Evan Wilson
Claimant Lawyers(s): Evan D Wilson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Barbara Black
Hearing Site: Charlotte, NC
| | $0 |
| 18-00763 | 08/16/2018 | Claimant(s): Edward Bertram, Marilyn Bertram
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Garland James, Ronald Richer, Garden State Securities.
Respondent Lawyers(s): Garland Sean James, Robert I. Rabinowitz
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
| | $25,600 |
| 17-02988 | 07/12/2018 | Claimant(s): Kerry Stinman
Claimant Lawyers(s): Eric Litow
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Demien J. Betz
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Charlotte, NC
| | |
| 17-02218 | 05/10/2018 | Claimant(s): Walter Martin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Frank E. Wolf
Hearing Site: Charlotte, NC
| | |
| 17-01015 | 03/08/2018 | Claimant(s): AllianceBernstein L.P.
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Robert Ziegler
Respondent Lawyers(s): Louis M. Lagalante
Arbitrator(s): David F. Simon
Hearing Site: Charlotte, NC
| | |
