| 17-01433 | 03/01/2018 | Claimant(s): Gray Daus
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BB&T Investment Services.
Respondent Lawyers(s): Katherine McGrail
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Charlotte, NC
| | |
| 16-00303 | 02/14/2018 | Claimant(s): Donna Hankin IRA, Lee Hankin IRA, Donna Hankin and Lee Hankin JTWROS
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Braver Stern Securities LLC, Newport Coast Securities.
Respondent Lawyers(s): Nat Wasserstein, Richard Onesto
Arbitrator(s): Susan L. Luck, William P. Loughnane, Margaret Elizabeth Gee
Hearing Site: Charlotte, NC
|  | $281,264 |
| 16-03011 | 02/01/2018 | Claimant(s): Karen Caldwell
Claimant Lawyers(s): Karen G. Caldwell
Respondent(s): Wells Fargo Advisors, Mary Stockinger
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Mary E. Woytek, Frank Samuel Perri, Brock B. Gordon
Hearing Site: Charlotte, NC
| | Expungement |
| 17-01791 | 12/22/2017 | Claimant(s): Javed Maniya
Claimant Lawyers(s): Javed Maniya
Respondent(s): Optionshouse
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Brock B. Gordon
Hearing Site: Charlotte, NC
| | $0 |
| 17-01571 | 12/11/2017 | Claimant(s): William Blau
Claimant Lawyers(s): William Daniel Blau
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jennifer W. Persico
Arbitrator(s): W. William Harness
Hearing Site: Charlotte, NC
| | |
| 16-03376 | 12/06/2017 | Claimant(s): Randy Wiles
Claimant Lawyers(s): Randy Dale Wiles
Respondent(s): Frank Beals
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): John A. Baynes, Susan L. Luck, Frank E. Wolf
Hearing Site: Charlotte, NC
| | $0 |
| 17-01846 | 12/01/2017 | Claimant(s): Southeast Investments, N.C..
Claimant Lawyers(s): Frank H Black
Respondent(s): Michael Lessard
Respondent Lawyers(s): James W. Sheedy
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | |
| 17-00438 | 11/21/2017 | Claimant(s): Robert Carlson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Richard E. Miley
Hearing Site: Charlotte, NC
| | |
| 16-01496 | 11/10/2017 | Claimant(s): Estate of Michael Williams
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jaimeson
Arbitrator(s): Tina E. Patterson, James Michael Belk, Frank V. Tutone
Hearing Site: Charlotte, NC
| | $600 |
| 16-03138 | 08/29/2017 | Claimant(s): Derek Copeland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Lisa Bass Morris
Hearing Site: Charlotte, NC
| | |
