| 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| | Withdrawn |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
| | |
| 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
| | |
| 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
| | |
| 21-02490 | 11/21/2022 | Claimant(s): Linda Puryear
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BB&T Securities
Respondent Lawyers(s): Alexander M. Madrid
Arbitrator(s): Mary E. Woytek
Hearing Site: Charlotte, NC
| | |
| 22-00224 | 11/01/2022 | Claimant(s): Peter Shanahan
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
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