| 19-02175 | 02/17/2022 | Claimant(s): Michael Holland
Claimant Lawyers(s): Michael Bessette
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Joyce A. Mitchell, James Howell Garrison, Stephen Edwin Anderson
Hearing Site: Charlotte, NC
| | |
| 20-00511 | 02/10/2022 | Claimant(s): David Thompson
Claimant Lawyers(s): Brian J. Neville
Respondent(s): TD Private Client Wealth
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Leonard E. Benade, Douglas Earl McLaren, Norman Lee Gunn
Hearing Site: Charlotte, NC
| | |
| 19-02676 | 12/31/2021 | Claimant(s): Walter Converse
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Clifford Reid, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Tina E. Patterson, Dawn M. Antalik-Baker, Daniel F. Piar
Hearing Site: Charlotte, NC
|  | Expungement |
| 20-03094 | 12/02/2021 | Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Dillon
Arbitrator(s): Mary E. Woytek
Hearing Site: Charlotte, NC
| | |
| 21-01274 | 09/22/2021 | Claimant(s): Hailey Woolf ESA, Hailey Woolf UTMA, Walker Woolf ESA, Walker Woolf UTMA, Melissa Woolf Roth IRA, Melissa Woolf r/o IRA, Steven Woolf Roth IRA, Steven & Melissa Woolf Joint
Claimant Lawyers(s): Steven Woolf
Respondent(s): Ameriprise Financial Services., Wells Fargo Clearing Services, Jonathan Mirer, Michael Swinehart
Respondent Lawyers(s): Jeffery D. Rodgers, Sydney H. Crowder
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Charlotte, NC
| | $0 |
| 20-02252 | 08/26/2021 | Claimant(s): James Womack
Claimant Lawyers(s): Michael E. Ciochina
Respondent(s): Luke McKelvy
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Mary E. Woytek, Bruce Wayne Campbell, Victoria Liccione
Hearing Site: Charlotte, NC
| | |
| 21-00029 | 07/22/2021 | Claimant(s): Elizabeth Fox
Claimant Lawyers(s): John H. Griffing
Respondent(s): Money Concepts Capital Corp.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 20-03804 | 07/19/2021 | Claimant(s): Jonathan Short
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC
| | |
| 20-02942 | 07/01/2021 | Claimant(s): Carol King
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): 1st Global Capital Corp.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Harvey R. Linder
Hearing Site: Charlotte, NC
| | |
| 20-03989 | 06/10/2021 | Claimant(s): Todd Calamita
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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