| 12-01708 | 02/04/2013 | Claimant(s): William Gonce
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Edward Jones
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Stephen P. Hoffman, Matthew J. Hoysa, Michael J. Pasquale
Hearing Site: Charlotte, NC
|  | $20,000 |
| 12-01135 | 12/10/2012 | Claimant(s): Cathy Turner
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Edward Jones
Respondent Lawyers(s): Javier Chavez
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | $13,228 |
| 11-04276 | 12/07/2012 | Claimant(s): Robert Bridgeman
Claimant Lawyers(s): Robert C. Bridgeman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $0 |
| 11-02035 | 11/28/2012 | Claimant(s): Phillip Sherrill
Claimant Lawyers(s): John B. Veach
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Craig Kuglar
Arbitrator(s): John H. Griffing, Stephen P. Hoffman, Daphne Tippens Chisolm
Hearing Site: Charlotte, NC
| | $283,862 |
| 11-01519 | 11/19/2012 | Claimant(s): Timothy Hullett
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $225 |
| 11-02758 | 11/02/2012 | Claimant(s): Joseph Vollmer, Robert Vollmer, POA for J. Vollmer
Claimant Lawyers(s): Robert W. Vollmer, POA for J. Vollmer
Respondent(s): Wells Fargo Advisors, James Copley, Mark Vaughan, Thomas Tiner
Respondent Lawyers(s): Sara Soto, Scott A. Eichhorn
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | $0 |
| 12-00742 | 10/17/2012 | Claimant(s): Ronald Raines
Claimant Lawyers(s): Stephen M. Cox
Respondent(s): Eli Cantrell, Grace Cantrell
Respondent Lawyers(s): Eli Cantrell, Grace E Cantrell
Arbitrator(s): Jack C. Aycock, Lynne T. Albert, Laura A. Ledford
Hearing Site: Charlotte, NC
| | Expungement |
| 11-02235 | 09/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jamie S. Schwedler
Respondent(s): Gregory Davis
Respondent Lawyers(s): Gregory Wayne Davis
Arbitrator(s): Alan L. Berger
Hearing Site: Charlotte, NC
| | |
| 10-01399 | 07/12/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Andrew Park
Respondent(s): Gary Collins
Respondent Lawyers(s): Gary Collins
Arbitrator(s): Stephen P. Hoffman, Joe Carroll Thomas, Wesley M. Walker
Hearing Site: Charlotte, NC
| | |
| 11-01876 | 06/06/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): George Doughton
Respondent Lawyers(s): Thomas J. Doughton
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | |
