| 19-02286 | 03/20/2020 | Claimant(s): Dorothy Yandle
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | |
| 18-03454 | 03/20/2020 | Claimant(s): Tomas Fernandez
Claimant Lawyers(s): Jessica Vasquez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Norton
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Harvey R. Linder
Hearing Site: Charlotte, NC
|  | $0 |
| 19-00732 | 03/18/2020 | Claimant(s): James Warfield
Claimant Lawyers(s): Gary J. Rickner
Respondent(s): ICON Advisers., ICON Distributors.
Respondent Lawyers(s): Gregory A. Eurich
Arbitrator(s): Patricia Ann Tracey, Frank Samuel Perri, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | |
| 19-02547 | 03/02/2020 | Claimant(s): Steven Bonetto
Claimant Lawyers(s): John Stewart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Charlotte, NC
| | |
| 19-00880 | 02/04/2020 | Claimant(s): Carl Rogers
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Ameritas Investment Corp., Equity Services.
Respondent Lawyers(s): Andrea D. Snowden, Derek C. Anderson
Arbitrator(s): Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | |
| 19-03613 | 01/30/2020 | Claimant(s): Pam Matthews
Claimant Lawyers(s): Scott L. Silver
Respondent(s): James Heafner
Respondent Lawyers(s): James Hal Heafner
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | $60,000 |
| 16-00150 | 12/19/2019 | Claimant(s): Joseph Long, Joseph Duane Long IRA, PTC Cust IRA FBO Joseph Duane Long, PTC Cust IRA FBO Peggy Long, Joseph Duane Long and Peggy Long JJTEN
Claimant Lawyers(s): David M. Gaba
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Barbara Black, James Howell Garrison, William Finley Hamel
Hearing Site: Charlotte, NC
| | $550,398 |
| 19-01176 | 11/27/2019 | Claimant(s): Christopher Hobart
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Williams
Arbitrator(s): Susan L. Luck
Hearing Site: Charlotte, NC
| | |
| 18-04361 | 11/15/2019 | Claimant(s): Donald Robbins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christen Leah Casale
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
| | |
| 18-03960 | 11/12/2019 | Claimant(s): Catherine Baker
Claimant Lawyers(s): D. Daxton White
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Richard H. Potter, Michael J. Ahlstrom, John A. Baynes
Hearing Site: Charlotte, NC
| | $228,384 |
