19-02406 | 07/18/2023 | Claimant(s): Mark Dickman Claimant Lawyers(s): Jeremy L. Bartell Respondent(s): Jessica Sexton, Robert Russo Respondent Lawyers(s): Jonathan S. Robbins Arbitrator(s): Lisa Bass Morris, Rebecca Sofley Henderson, Eric C Chilton Hearing Site: Charlotte, NC
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22-01853 | 07/10/2023 | Claimant(s): Cathy Margoshes Claimant Lawyers(s): Ryan N. Chae Respondent(s): Chikezie Esiobu Respondent Lawyers(s): Gerry A. Giurato Arbitrator(s): Theresa Joan Rosenberg Hearing Site: Charlotte, NC
| | Expungement |
22-00664 | 06/23/2023 | Claimant(s): Elaine Holland Royster, Joshua Royster, Elaine Holland Royster IRA Claimant Lawyers(s): Matt Wolper Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Compan Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, Jennifer Greene, Julie A. Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney Arbitrator(s): Susan L. Luck, Chase Boone Saunders, James Michael Belk Hearing Site: Charlotte, NC
| | Settlement |
22-02948 | 06/21/2023 | Claimant(s): Nancy Everidge Claimant Lawyers(s): Stefan Apotheker Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, John J. Woods, Julie Adelle Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney Arbitrator(s): Charles L.A. Terreni, Victoria Liccione, Sharon Lanette Ervin Hearing Site: Charlotte, NC
| | Withdrawn |
22-01227 | 05/26/2023 | Claimant(s): William Armfield Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Robert K. Jamieson Arbitrator(s): Chase Boone Saunders Hearing Site: Charlotte, NC
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20-03771 | 05/19/2023 | Claimant(s): Truist Investment Services. Claimant Lawyers(s): John E. MacDonald Respondent(s): John Davis Respondent Lawyers(s): W. Wallace Respess Arbitrator(s): Robert Neal Hunter Hearing Site: Charlotte, NC
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19-00737 | 03/15/2023 | Claimant(s): Johanna Vandermark, Living Trust, Joanna Vandermark Trustee, Vandermark Credit Shelter Trust, Karen Y Claimant Lawyers(s): Fred B. Monroe Respondent(s): Hilltop Securities Inc. Respondent Lawyers(s): Jonathan Neerman Arbitrator(s): Douglas Earl McLaren, Jason Alexander Diamond, GianDomenico Sarolli Hearing Site: Charlotte, NC
| | $776,149 |
21-02364 | 03/15/2023 | Claimant(s): Craig Spry Claimant Lawyers(s): Julie H. Fosbinder Respondent(s): Truist Investment Services., Edmond Henley, BB&T Securities Respondent Lawyers(s): Alexander M. Madrid Arbitrator(s): Robert Neal Hunter, Frederick R. Benson, Erika Hunter Hearing Site: Charlotte, NC
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22-02127 | 02/28/2023 | Claimant(s): Woodbury Financial Services. Claimant Lawyers(s): Jennifer R. Cox Respondent(s): Timothy Phenecie Respondent Lawyers(s): Timothy M. Phenecie Arbitrator(s): Theresa Joan Rosenberg Hearing Site: Charlotte, NC
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22-00659 | 01/17/2023 | Claimant(s): James Kinsey Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): LPL Financial LLC, BB&T Investment Services. Respondent Lawyers(s): Ella Beres, Rochelle Mayfield Arbitrator(s): Robert T. Allen, Richard James Igou, Jay Jordan Hearing Site: Charlotte, NC
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