| 10-03040 | 07/21/2011 | Claimant(s): Ronald Brown
Claimant Lawyers(s): Christopher M. Whelchel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): John G. McDonald
Arbitrator(s): Stephen P. Hoffman, Michael C. Wittenberg, CPF, CLU, ChFC, Margaret Elizabeth Gee
Hearing Site: Charlotte, NC
| | |
| 10-01482 | 06/30/2011 | Claimant(s): Denice Niethammer
Claimant Lawyers(s): Denice Niethammer
Respondent(s): Robert Roth, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
|  | Expungement |
| 10-05057 | 06/17/2011 | Claimant(s): George Froyd
Claimant Lawyers(s): John F Hanzel
Respondent(s): Brian Sohovich, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
| | $1,163 |
| 10-03855 | 03/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Craig Marcello
Respondent Lawyers(s): Craig S. Marcello
Arbitrator(s): Robert T. Allen
Hearing Site: Charlotte, NC
| | |
| 09-05107 | 03/15/2011 | Claimant(s): David Ferraro
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Deutsche Bank Securities., Gregory Planck
Respondent Lawyers(s): Donald N. Cohen
Arbitrator(s): Sidney L. Sussman, Lynne T. Albert, John H. Griffing
Hearing Site: Charlotte, NC
| | Expungement |
| 09-05736 | 03/10/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Matthew Mall
Respondent(s): Clifford Watts
Respondent Lawyers(s): Matthew K. Rogers
Arbitrator(s): Richard H. Potter, Richard Timothy Curran, Frank V. Tutone
Hearing Site: Charlotte, NC
| | |
| 09-04824 | 12/02/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan Levine
Respondent(s): Shawn Newman
Respondent Lawyers(s): Shawn C. Newman
Arbitrator(s): Susan J. Buckley, Denise L. Presley, Jerry L. Hooper
Hearing Site: Charlotte, NC
| | |
| 10-00790 | 09/14/2010 | Claimant(s): George M. Hunley, Jr. and Ada M. Hunley
Claimant Lawyers(s): George M. Hunley
Respondent(s): Stewart Fisher, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $425 |
| 09-01424 | 07/06/2010 | Claimant(s): David Chappelle, Michael Healy
Claimant Lawyers(s): Louis L. Lesesne
Respondent(s): Bank of America Securities
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): M. Bruce Adelberg, James Edward Banks, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | |
| 09-05964 | 06/28/2010 | Claimant(s): Matthew Andrews
Claimant Lawyers(s): Matthew Bryan Andrews
Respondent(s): Mark Rizzieri
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): Neil Harvey Smith
Hearing Site: Charlotte, NC
| | $3,325 |
