| 09-03231 | 06/15/2010 | Claimant(s): Clayton Scholand, George Rankin, George Verdone, Samuel Rankin, William Wynn
Claimant Lawyers(s): Sara W Higgins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher M. Galusha
Arbitrator(s): Harold Engelman, James Edward Banks, Wendy J. Reyner
Hearing Site: Charlotte, NC
| | |
| 08-03396 | 05/28/2010 | Claimant(s): Frederick Hart
Claimant Lawyers(s): J. Jerome Hartzell
Respondent(s): Bruce Baker, Peter Dawson, Obsidian Financial Group
Respondent Lawyers(s): Brian Reis, Paul R. Williams, Peter J. Dawson-08A3494
Arbitrator(s): Jack C. Aycock, C. Marcus Harris, Chase Boone Saunders
Hearing Site: Charlotte, NC
|  | $89,439 |
| 09-03008 | 05/05/2010 | Claimant(s): MIchelle L. Lakeson, William B. Lakeson, Jr.
Claimant Lawyers(s): Fred W DeVore
Respondent(s): Dominique Vercaemert
Respondent Lawyers(s): Andrew Dorman
Arbitrator(s): W. Wells Van Pelt, John H. Griffing, Richard E. Miley
Hearing Site: Charlotte, NC
| | $43,500 |
| 09-04157 | 04/06/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sidney L. Sussman, David P. McDuffee, Thomas Doyle Blum
Hearing Site: Charlotte, NC
| | |
| 10-01047 | 03/30/2010 | Claimant(s): BB&T Investment Services.
Claimant Lawyers(s): T.Jonathan Adams
Respondent(s): Wells Fargo Advisors, Gray Daus
Respondent Lawyers(s): David W. Erb
Arbitrator(s): Robert S. Zuckerman, Robert A. Ames, Celeste A. Beron
Hearing Site: Charlotte, NC
| | |
| 09-02203 | 03/17/2010 | Claimant(s): Charlotte Domiter
Claimant Lawyers(s): John F. Hanzel
Respondent(s): Melissa Carlson, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
| | $500 |
| 09-00868 | 02/04/2010 | Claimant(s): Robert Klein
Claimant Lawyers(s): John F. Hanzel
Respondent(s): TIAA-CREF
Respondent Lawyers(s): Felicia Washington
Arbitrator(s): Thomas W. Steed
Hearing Site: Charlotte, NC
| | |
| 09-04755 | 02/04/2010 | Claimant(s): Jay H. Mintz IRA Rollover, Jay H. Mintz Revocable Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Annie M. Moriarty
Arbitrator(s): Neil Harvey Smith
Hearing Site: Charlotte, NC
| | $0 |
| 08-02620 | 02/01/2010 | Claimant(s): The Richard Ritchie Trust, The Roberta Ritchie Trust
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Keith Pagan, Dakota Securities International.
Respondent Lawyers(s): Bruce Zipper, President, Paul A. Alsdorf
Arbitrator(s): Monroe Mitchel, John H. Claudy, Paul Chernis
Hearing Site: Charlotte, NC
| | Expungement |
| 09-04741 | 01/14/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Kirk Westermann
Respondent Lawyers(s): Kirk Westermann
Arbitrator(s): Sidney L. Sussman
Hearing Site: Charlotte, NC
| | |
