22-01568 | 05/06/2024 | Claimant(s): Marc Cedarleaf, Patricia Cedarleaf Claimant Lawyers(s): Matt Williams Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Robert H. Putnam, Dana R. Krajack, William Finley Hamel Hearing Site: Columbia, SC
| | $125,400 |
22-01195 | 08/30/2023 | Claimant(s): James Fayssoux, Sr. Claimant Lawyers(s): Kalju Nekvasil Respondent(s): SW Financial Respondent Lawyers(s): Axos Clearing Arbitrator(s): Roger C. Benson, Bernadette F. Rasmussen, William Finley Hamel Hearing Site: Columbia, SC
| | $3,193,550 |
19-01588 | 12/01/2021 | Claimant(s): Lisa Wavro Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Morgan Stanley, Kevin Welsh Respondent Lawyers(s): Nicholas N. George Arbitrator(s): Robert H. Putnam, Mauricio Arcadier, William Finley Hamel Hearing Site: Columbia, SC
| | Expungement |
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 |
15-01223 | 03/29/2017 | Claimant(s): Richard White Claimant Lawyers(s): Joseph M. Pastore Respondent(s): Wells Fargo Securities Respondent Lawyers(s): Kevin J. Dalton Arbitrator(s): Robert H. Putnam, David M. Levine, William Finley Hamel Hearing Site: Charlotte, NC
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