| 22-01753 | 01/27/2023 | Claimant(s): Don Rudolph
Claimant Lawyers(s): James P. Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Michael J. Ahlstrom, Michael J. Pasquale, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
| | |
| 20-01106 | 03/15/2021 | Claimant(s): Joseph Williams
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): M. Todd Sullivan
Arbitrator(s): Michael E. Weddington, Michael J. Pasquale, Charles Robert Moore
Hearing Site: Raleigh, NC
| | |
| 17-01680 | 09/20/2018 | Claimant(s): Diana Needham
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Geoffrey Frazier, Timothy Lyle
Respondent Lawyers(s): Brian A. Carlis, Debra A. Jenks
Arbitrator(s): Leonard E. Benade, Muriel Desloovere, Michael J. Pasquale
Hearing Site: Raleigh, NC
|  | Expungement |
| 13-02978 | 10/08/2014 | Claimant(s): Barbara Hazle, William Hazle
Claimant Lawyers(s): William Hazle
Respondent(s): Walter Grenda
Respondent Lawyers(s): Walter Francis Grenda
Arbitrator(s): Michael E. Weddington, Michael J. Pasquale, Charles Robert Moore
Hearing Site: Raleigh, NC
| | $0 |
| 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 |
| 11-04311 | 04/11/2013 | Claimant(s): Trudi Claus
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Princor Financial Services Corporation
Respondent Lawyers(s): Rebecca B. Rothmann
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Michael J. Pasquale
Hearing Site: Richmond, VA
| | Expungement |
| 12-01708 | 02/04/2013 | Claimant(s): William Gonce
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Edward Jones
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Stephen P. Hoffman, Matthew J. Hoysa, Michael J. Pasquale
Hearing Site: Charlotte, NC
| | $20,000 |
| 11-03029 | 01/23/2013 | Claimant(s): Donald Wojnowski
Claimant Lawyers(s): Todd A Zuckerbrod
Respondent(s): Donald Newlin, Gordon Crenshaw, James Newton, Milton Turner, Anderson & Strudwickorporated
Respondent Lawyers(s): Loren Schechter, Todd A Zuckerbrod
Arbitrator(s): John "Jack" W. Rader, Jane C. Carney, Michael J. Pasquale
Hearing Site: Richmond, VA
| | |
| 09-03959 | 08/05/2010 | Claimant(s): Phillip Sielatycki
Claimant Lawyers(s): Laura J Wetsch
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Diane C. Fischer
Arbitrator(s): Timothy J. Wright, Charles S. Clayton, Michael J. Pasquale
Hearing Site: Raleigh, NC
| | |
| 09-03013 | 05/19/2010 | Claimant(s): Arthur Lang, Deborah Lang
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Peter Fruin
Arbitrator(s): David Edward Upton, Wesley C. Wilson, Michael J. Pasquale
Hearing Site: Richmond, VA
| | $276,844 |
