| 21-02446 | 06/07/2022 | Claimant(s): Scott Keck
Claimant Lawyers(s): Aaron C. Hemmings
Respondent(s): MML Investors Services, MSI Financial Services., Metropolitan Life Insurance Company
Respondent Lawyers(s): Peter R. Pound
Arbitrator(s): Roger C. Benson, Charles Diederich Heidgerd, Karen A. West
Hearing Site: Raleigh, NC
|  | Dismissed by Rule 12206 |
| 17-03307 | 02/26/2019 | Claimant(s): Glenn Capel
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Langfred W. White, Karen A. West, David Josephsohn
Hearing Site: Raleigh, NC
| | |
| 15-02862 | 10/25/2016 | Claimant(s): Joyce Gorham-Worsley
Claimant Lawyers(s): Joyce Gorham-Worsley
Respondent(s): Alonza Barnett, Institutional Capital Management.
Respondent Lawyers(s): Alonza Barnett, Douglas Yauger
Arbitrator(s): Karen A. West
Hearing Site: Raleigh, NC
| | $0 |
| 12-03409 | 06/04/2015 | Claimant(s): Faye Smith, J.O. Godwin, Joseph Smith, June Collier, Lee Roy Collier, Estate of Erma Bowen
Claimant Lawyers(s): Brandon S. Neuman, C. Battles
Respondent(s): Hugh Dyson
Respondent Lawyers(s): Hugh Monroe Dyson
Arbitrator(s): Karen A. West, Thomas W. Allen, David Josephsohn
Hearing Site: Raleigh, NC
| | $437,500 |
| 12-01525 | 06/14/2013 | Claimant(s): Daniel Bollinger
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Kelly Tinsley, UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Gerald L. Fingerhut, John Russell Barlow, Karen A. West
Hearing Site: Raleigh, NC
| | Expungement |
| 09-01924 | 05/04/2010 | Claimant(s): Paul Carey, Victoria Carey
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Genworth Financial Securities Corp.
Respondent Lawyers(s): Matthew H. Hall
Arbitrator(s): Zeb E. Barnhardt, Thomas C. Looney, Karen A. West
Hearing Site: Raleigh, NC
| | $363,010 |
| 06-04445 | 02/14/2008 | Claimant(s): American Municipal Securities.
Claimant Lawyers(s): Robert Persante
Respondent(s): Gregg Hollidge, John A. and Drewry Mitchell
Respondent Lawyers(s): Michael T. Medford, Robert Persante
Arbitrator(s): Lynne T. Albert, George Steven Moore, Karen A. West
Hearing Site: Raleigh, NC
| | $0 |
