| 11-04134 | 07/01/2013 | Claimant(s): Randall Strider, Roland Stout, Randy and Randy.
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
|  | Expungement |
| 12-03981 | 05/31/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Steven P. Pherson
Respondent(s): James Hansberger
Respondent Lawyers(s): James Clyde Hansberger
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | |
| 11-04165 | 05/28/2013 | Claimant(s): Douglas Ray Cheek D/P/A for Bobby Cheek
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
| | Expungement |
| 11-04310 | 05/21/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Thomas Moore
Respondent Lawyers(s): Thomas Chapley Moore
Arbitrator(s): Stephen P. Hoffman, Charles Sydnor Thompson, David M. Finkel
Hearing Site: Charlotte, NC
| | |
| 10-05827 | 04/29/2013 | Claimant(s): Naomi Bowling, Richard Bowling
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric M. Morris
Arbitrator(s): Leonard E. Benade, Patricia Ann Tracey, Mary B. Campbell
Hearing Site: Charlotte, NC
| | $0 |
| 11-01967 | 04/26/2013 | Claimant(s): Marcia Ragsdale, The Mary M. Pollock Irrevocable Trust
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise M. Henry
Arbitrator(s): Henry Sanchez, William F. Julavits, Frank V. Tutone
Hearing Site: Charlotte, NC
| | Expungement |
| 12-01678 | 04/12/2013 | Claimant(s): Ina Alexander
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
| | Expungement |
| 12-00306 | 03/05/2013 | Claimant(s): Charles W. Stager Trust B
Claimant Lawyers(s): Wendy Stager
Respondent(s): Frederick Walker
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
| | $25,704 |
| 11-03073 | 02/25/2013 | Claimant(s): Corwin Farris, Gloria Farris
Claimant Lawyers(s): Jami Jackson Farris
Respondent(s): Christopher Pridnia, Harry Satterfield, Edward Jones, Allstate Life Insurance Company
Respondent Lawyers(s): David G. Smitham, John F. Hanzel, Peter J. Valeta
Arbitrator(s): Leon Henderson, James Whitaker Ballou, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | Expungement |
| 11-04113 | 02/12/2013 | Claimant(s): Allen Hauser
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Morris Weisner
Respondent Lawyers(s): Morris Clinton Weisner
Arbitrator(s): Robert T. Allen, John A. Baynes, James F. Major
Hearing Site: Charlotte, NC
| | $177,116 |
