| 15-00598 | 06/07/2016 | Claimant(s): Richard Forde, RGA Forde, Godwin Fund Partners, L.P.
Claimant Lawyers(s): Brian J. Brislen
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): John A. Baynes, Frank Samuel Perri, Celeste A. Beron
Hearing Site: Charlotte, NC
|  | $1,050,750 |
| 14-02480 | 08/06/2015 | Claimant(s): Fred Anthony
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Cadaret, Grant & Co..
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Dana R. Krajack, Dana Tait Sandlin, Celeste A. Beron
Hearing Site: Columbia, SC
| | Dismissed by Rule 12206 |
| 14-02097 | 06/09/2015 | Claimant(s): Joseph McGuire, Leslie McGuire
Claimant Lawyers(s): Bradd Milove, Jacob Pyle
Respondent(s): LPL Financial LLC, David Hart
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Charles F. Boufford, Celeste A. Beron, Norma Abbene
Hearing Site: Charlotte, NC
| | $725,000 |
| 12-02911 | 04/15/2014 | Claimant(s): Iride Champion
Claimant Lawyers(s): Gary Menzer
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Celeste A. Beron
Hearing Site: Columbia, SC
| | $0 |
| 13-02917 | 04/04/2014 | Claimant(s): Charles Moehrke Jr., Norris Cotton
Claimant Lawyers(s): Charles Henry Moehrke, Norris Gates Cotton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): C. Marcus Harris, Celeste A. Beron, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
| | |
| 11-04183 | 12/10/2013 | Claimant(s): Marques Douglas, Sparkle Douglas
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): Charlene Monts, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Financial Planning Group, Merrill Lynch Life Agency
Respondent Lawyers(s): Charlene Denise Monts, Regina P. Martorana
Arbitrator(s): Alan L. Berger, Celeste A. Beron, Michael J. Pasquale
Hearing Site: Charlotte, NC
| | Expungement |
| 11-01450 | 03/16/2012 | Claimant(s): Cynthia Harman
Claimant Lawyers(s): John B. Veach
Respondent(s): Edward Jones
Respondent Lawyers(s): James B. Spears
Arbitrator(s): Richard E. Miley, Celeste A. Beron, Richard Timothy Curran
Hearing Site: Charlotte, NC
| | |
| 06-03489 | 07/03/2008 | Claimant(s): Jon Nee
Claimant Lawyers(s): William K. Diehl
Respondent(s): Banc of America Investment Services Inc., Bank of America, N.A.
Respondent Lawyers(s): George C. Covington
Arbitrator(s): Don M. Bieger, James Whitaker Ballou, Celeste A. Beron
Hearing Site: Charlotte, NC
| | |
