| 21-02205 | 02/07/2024 | Claimant(s): Andrea McKinley
Claimant Lawyers(s): Eric Spengler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stephen Dellinger
Arbitrator(s): Lisa Bass Morris, Daniel F. Piar, Victoria Liccione
Hearing Site: Charlotte, NC
| | |
| 23-00203 | 12/20/2023 | Claimant(s): Patrick Elmore
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services., Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth, Laura Ruiz Rivera
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
| | |
| 22-00423 | 12/05/2023 | Claimant(s): Ramona Mebane
Claimant Lawyers(s): Bradford M Gucciardo
Respondent(s): Edward Jones
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
|  | Expungement |
| 22-02499 | 11/30/2023 | Claimant(s): Arnold Key, Stephanie Hicks, Susan Tilley, Michael Atkins, Frances Atkins' Estate, Stephanie Hicks IRA
Claimant Lawyers(s): Matt E. Wolper
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): C Marcus Harris, Richard H. Potter, John Russell Barlow
Hearing Site: Charlotte, NC
| | $0 |
| 23-00910 | 11/28/2023 | Claimant(s): Christopher Hobart
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry W. Yager
Arbitrator(s): Stuart K. Furman, Alan Thomas Morgan, Alicia Mitchell-Mercer
Hearing Site: Charlotte, NC
| | |
| 23-00137 | 11/10/2023 | Claimant(s): Frances Norman, Joe Norman, Joyce Bowman, Rita Manuel, William Bowman, Frances D. Norman IRA, Joe Bill Norman IRA, Joyce T. Bowman IRA, Rita Manuel IRA, William G. Bowman IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): James Woods, Oppenheimer & Co.., Julie Jones
Respondent Lawyers(s): James Wallace Woods, Julie Adelle Jones, William E. Mahoney
Arbitrator(s): James Michael Belk, Daniel F. Piar, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
| | $0 |
| 22-00904 | 11/03/2023 | Claimant(s): Pamela Snow, Terry Snow
Claimant Lawyers(s): Matt Wolper
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): C Marcus Harris, Frank V. Tutone, Alicia Mitchell-Mercer
Hearing Site: Charlotte, NC
| | $0 |
| 23-00742 | 10/13/2023 | Claimant(s): Thomas Lomascolo
Claimant Lawyers(s): Thomas Lomascolo
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Victoria Liccione
Hearing Site: Charlotte, NC
| | $0 |
| 22-00858 | 09/07/2023 | Claimant(s): Ruochen Zhou
Claimant Lawyers(s): Gary Trachten
Respondent(s): Millennium Advisors, Millennium Consolidated Holdings
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Chase Boone Saunders, James Hugh Williams, Daniel F. Piar
Hearing Site: Charlotte, NC
| | |
| 22-02741 | 08/24/2023 | Claimant(s): Eric Dade
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Concourse Financial Group Securities, In
Respondent Lawyers(s): Destinee Campbell Small
Arbitrator(s): James Michael Belk
Hearing Site: Charlotte, NC
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