| 08-00688 | 12/29/2009 | Claimant(s): P. Isenberg
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Synergy Investment Group
Respondent Lawyers(s): Dexter B. Johnson
Arbitrator(s): Robert T. Allen, Mary C. Thornberry, David M. Pierce
Hearing Site: Charlotte, NC
| | |
| 08-04933 | 12/21/2009 | Claimant(s): James P. Dancy
Claimant Lawyers(s): Kristin S. Nardone
Respondent(s): Jason Swink, Money Concepts Capital Corp
Respondent Lawyers(s): George H. Pender
Arbitrator(s): John H. Griffing, Richard E. Miley, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
|  | $80,179 |
| 09-00796 | 12/21/2009 | Claimant(s): Estate of Peter W. Roslund
Claimant Lawyers(s): David C. Berman
Respondent(s): J.P. Morgan Securities, Stephen Gabriel
Respondent Lawyers(s): Eugene L. Small, Ronald P. Kane
Arbitrator(s): Leonard E. Benade, W. Wells Van Pelt, John R. Morris
Hearing Site: Charlotte, NC
| | Stipulated Award and Expungement |
| 08-03834 | 12/10/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bradley Stipp
Respondent Lawyers(s): Fred B. Monroe
Arbitrator(s): Charles Glass Smith, Barry M. Cheren, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | |
| 09-01073 | 09/15/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Dean Matthews
Respondent Lawyers(s): Dean Sean Matthews
Arbitrator(s): Mitchell M. Willoughby
Hearing Site: Charlotte, NC
| | |
| 07-03126 | 09/04/2009 | Claimant(s): Jerry Maye, Rita Maye
Claimant Lawyers(s): Rita H. Maye
Respondent(s): Mark Gandossy, Legacy Financial Services.
Respondent Lawyers(s): Derek C. Anderson, Michael J. Ernst
Arbitrator(s): Zeb E. Barnhardt, M. Bruce Adelberg, Robert S. Zuckerman
Hearing Site: Charlotte, NC
| | Settlement |
| 09-01199 | 07/24/2009 | Claimant(s): Dennis Turman, Dennis Roger Turman, IRA
Claimant Lawyers(s): J. Boyd Page
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A Christensen
Arbitrator(s): Joe Carroll Thomas
Hearing Site: Charlotte, NC
| | $8,673 |
| 09-00097 | 07/09/2009 | Claimant(s): Stephen Kraljic
Claimant Lawyers(s): Samuel T. Brannan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Charlotte, NC
| | $0 |
| 07-03347 | 06/15/2009 | Claimant(s): Ray Gatten
Claimant Lawyers(s): J. Pat Sadler
Respondent(s): Ferris, Baker Watts
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Calvin D. Cevaal, Chase Boone Saunders, Stuart W. Elliott
Hearing Site: Charlotte, NC
| | |
| 08-04910 | 05/06/2009 | Claimant(s): Deborah Walsh
Claimant Lawyers(s): Deborah C Walsh
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Denise L. Presley
Hearing Site: Charlotte, NC
| | $0 |
