| 08-02515 | 04/28/2009 | Claimant(s): Pearl Marsh
Claimant Lawyers(s): Frederick K. Sharpless
Respondent(s): Wachovia Securities, Ronald Clinard
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Susan L. Luck, Mary B. Campbell, Denise L. Presley
Hearing Site: Charlotte, NC
|  | $0 |
| 08-01633 | 03/12/2009 | Claimant(s): Gregory Hampy
Claimant Lawyers(s): Douglas F. Stone
Respondent(s): Synergy Investment Group
Respondent Lawyers(s): Dexter B. Johnson
Arbitrator(s): Susan L. Luck, Robert S. Zuckerman, Michael James Childers
Hearing Site: Charlotte, NC
| | |
| 05-06249 | 03/09/2009 | Claimant(s): Kathy Turner, Estate of Olivia Frase
Claimant Lawyers(s): Kathy Turner
Respondent(s): John Carlson, John Turner, R. Wood, J.W. Cole Financial., Jonathan Roberts Financial Group.
Respondent Lawyers(s): Clifford J. Hunt, Norman B. Arnoff
Arbitrator(s): Sarah G. Anderson, William H. Malloy, Robert A. Ames
Hearing Site: Charlotte, NC
| | Expungement |
| 07-02484 | 12/18/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Stephan Day
Respondent Lawyers(s): Stephan T. Day
Arbitrator(s): Sidney L. Sussman, David P. McDuffee, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | |
| 07-01775 | 10/06/2008 | Claimant(s): Elizabeth Burnell, Estate of Brian Burnell
Claimant Lawyers(s): John Hanzel
Respondent(s): Frank Black, Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black
Arbitrator(s): Lynne T. Albert, Leslie R. Berro, Richard E. Miley
Hearing Site: Charlotte, NC
| | $0 |
| 06-03489 | 07/03/2008 | Claimant(s): Jon Nee
Claimant Lawyers(s): William K. Diehl
Respondent(s): Banc of America Investment Services Inc., Bank of America, N.A.
Respondent Lawyers(s): George C. Covington
Arbitrator(s): Don M. Bieger, James Whitaker Ballou, Celeste A. Beron
Hearing Site: Charlotte, NC
| | |
| 07-03173 | 04/23/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Bradley Winer
Respondent Lawyers(s): Bradley Winer
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
| | $0 |
| 07-01303 | 04/18/2008 | Claimant(s): Gerlind Schmoll, Ronald Schmoll
Claimant Lawyers(s): Ronald W. Karolyi
Respondent(s): Kenneth Pujdak
Respondent Lawyers(s): Kenneth Pujdak
Arbitrator(s): Lynne T. Albert, Leslie R. Berro, Laura A. Ledford
Hearing Site: Charlotte, NC
| | $181,888 |
| 07-01100 | 03/28/2008 | Claimant(s): The Shorr Family Trust
Claimant Lawyers(s): Ronald W. Karolyi
Respondent(s): A.G. Edwards & Sons., Terry Dean
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert S. Zuckerman, Michael E. Pearson, Richard E. Miley
Hearing Site: Charlotte, NC
| | $0 |
| 07-01583 | 03/26/2008 | Claimant(s): Harold F. Davis, IRA, Davis Family Trust
Claimant Lawyers(s): Harold F. Davis
Respondent(s): Hayes Burleson, A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lynne T. Albert, Landrum H. Henderson, James F. Major
Hearing Site: Charlotte, NC
| | $87,600 |
